Mark Shaw
Professional summary
Mark Shaw was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Mark had worked at 4 firms, which includes COHEN & COMPANY CAPITAL MARKETS LLC, BNY MELLON SECURITIES LLC, AUTRANET LLC, MUTUAL OF AMERICA LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2009 - December 8, 2009
COHEN & COMPANY CAPITAL MARKETS, LLC
October 5, 1999 - May 30, 2008
BNY MELLON SECURITIES LLC
April 8, 1992 - December 22, 1992
AUTRANET, LLC
November 26, 1984 - April 10, 1992
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 6/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
COHEN & COMPANY CAPITAL MARKETS, LLC
CRD#: 144981 / SEC#: , 8-67687
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
