Mark Herron
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 Herron was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 11 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2003 - March 1, 2012
SAXONY SECURITIES, INC.
April 10, 1997 - September 8, 2003
CLEARING SERVICES OF AMERICA, INC.
August 9, 1991 - April 4, 1997
A-FIRST-SECURITIES ADVISERS INC.
October 24, 1990 - January 21, 1991
KOBER FINANCIAL CORP.
February 29, 1988 - January 23, 1989
HUGHES SECURITIES, INC.
June 19, 1987 - March 16, 1988
JP MICHAEL CO.
May 8, 1987 - June 23, 1987
TOLUCA PACIFIC SECURITIES CORP.
November 27, 1985 - April 6, 1987
FIRST AFFILIATED SECURITIES, INC.
September 12, 1985 - November 25, 1985
INVESTACORP, INC.
June 13, 1985 - September 11, 1985
FITZGERALD, DEARMAN & ROBERTS, INC.
January 17, 1985 - June 18, 1985
COMMONWEALTH SECURITIES OF UTAH
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
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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