Mark S. Dorsett
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 Spencer Dorsett was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2023 - February 12, 2024
R.W.PRESSPRICH & CO.
May 19, 2020 - December 12, 2022
IMPERIAL CAPITAL, LLC
February 1, 2013 - March 13, 2020
JANNEY MONTGOMERY SCOTT LLC
April 15, 2010 - January 23, 2013
GLEACHER & COMPANY SECURITIES, INC.
October 22, 2003 - August 25, 2005
BARCLAYS CAPITAL INC.
April 5, 1995 - July 24, 2003
DEUTSCHE BANK SECURITIES INC.
September 6, 1990 - January 13, 1995
KIDDER, PEABODY & CO. INCORPORATED
August 21, 1989 - July 20, 1990
CITIGROUP GLOBAL MARKETS INC.
March 31, 1989 - August 1, 1989
THOMSON MCKINNON SECURITIES INC.
June 23, 1988 - April 17, 1989
PRINTON, KANE GOVERNMENT SECURITIES, INC.
August 25, 1987 - July 16, 1988
PRINTON, KANE GOVERNMENT SECURITIES, L.P.
February 12, 1985 - April 17, 1989
PRINTON KANE & CO., L.P.
September 20, 1984 - March 25, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
R.W.PRESSPRICH & CO.
CRD#: 26460 / SEC#: , 8-42547
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAPPA, EDWARD JOSEPH | CHAIRMAN (04/2009) AND CHIEF EXECUTIVE OFFICER (04/1990) | 371101 |
| CALVO, JOSEPH ANTHONY JR | DIRECTOR (01/2006), SENIOR MANAGING DIRECTOR (10/2018), PRESIDENT (04/2009) AND CHIEF OPERATING OFFICER (04/2009) | 1391692 |
| CARROLL, JOHN EDWARD III | DIRECTOR (06/2009), SENIOR MANAGING DIRECTOR (10/2018) AND CHIEF ADMINISTRATIVE OFFICER (10/2021) | 2134481 |
| CAUMARTIN, RENAUD PHILIPPE | SENIOR MANAGING DIRECTOR | 3266876 |
| MILSTEIN, LAWRENCE JOSHUA | DIRECTOR (06/2009) AND SENIOR MANAGING DIRECTOR (10/2018) | 2279858 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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