Mark Grundleger
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 Grundleger was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 7 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
January 11, 2019 - December 31, 2020
THE LEADERS GROUP, INC.
July 2, 2015 - December 31, 2017
THE LEADERS GROUP, INC.
May 2, 2011 - June 30, 2015
P.J. ROBB VARIABLE, LLC
August 1, 2003 - April 21, 2011
WALNUT STREET SECURITIES, INC.
July 31, 2000 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
October 16, 1990 - February 26, 1993
AEGIS CAPITAL CORP.
March 28, 1989 - April 3, 2000
GERSON, HOROWITZ, GREEN SECURITIES CORP.
September 26, 1986 - November 28, 1988
AEGIS CAPITAL CORP.
June 12, 1985 - January 8, 1992
WINDSOR CAPITAL MARKETS CORP.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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