Mark R. Graham
Professional summary
Mark Richards Graham 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 1990. Prior to being barred, Mark had worked at 2 firms, which includes FIRST LONDON SECURITIES CORPORATION, MORGAN STANLEY & CO. LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 1992 - November 30, 2000
FIRST LONDON SECURITIES CORPORATION
April 12, 1990 - January 21, 1992
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
FIRST LONDON SECURITIES CORPORATION
CRD#: 29709 / SEC#: , 8-44399
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DGN SECURITIES | SHAREHOLDER | |
| NICHOLS, DOUGLAS ROCKWELL | CEO, CFO, COO, SROP,CROP, DIRECTOR | 1584810 |
| TAYLOR, DEBRA JEAN | CORPORATE SECRETARY, DIRECTOR, CCO |
Disclosures
| Regulatory Event | 6 |
Red Flags
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