Mark G. Dorney
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Gardiner Dorney was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2018 - February 4, 2019
POTOMAC CAPITAL MARKETS, LLC
December 10, 2013 - May 19, 2017
CETERA INVESTMENT SERVICES LLC
June 6, 2012 - May 22, 2017
NORTHWEST ADVISORS, INC.
May 1, 2012 - December 10, 2013
OBS BROKERAGE SERVICES, INC.
June 9, 2011 - January 26, 2012
POTOMAC CAPITAL MARKETS, LLC
May 15, 2007 - June 22, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
May 15, 2007 - June 22, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
January 9, 2003 - August 16, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 11, 2002 - August 16, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 18, 2002 - December 5, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 1998 - September 11, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
April 6, 1992 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1992 - April 6, 1992
BANC OF AMERICA SECURITIES LLC
October 28, 1986 - January 1, 1992
SOVRAN INVESTMENT CORPORATION
September 25, 1984 - January 28, 1986
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
POTOMAC CAPITAL MARKETS, LLC
CRD#: 39800 / SEC#: , 8-48848
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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