Mark H. Levy
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 H Levy, who also goes by Mark Henry Levy, was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1985. Mark had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 62 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2021 - July 29, 2024
JCC CAPITAL MARKETS, LLC
September 11, 2018 - November 16, 2020
KCD FINANCIAL, INC.
February 13, 2017 - May 21, 2018
RESOURCE SECURITIES LLC
May 22, 2015 - February 9, 2017
MDS SECURITIES, LLC
November 27, 2012 - April 20, 2015
WESTMORELAND CAPITAL CORPORATION
April 20, 2011 - October 13, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 18, 2011 - October 13, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 2, 2010 - April 19, 2011
NTB FINANCIAL CORPORATION
January 23, 2007 - March 31, 2010
RESOURCE SECURITIES LLC
October 19, 2004 - December 12, 2005
BRYAN FUNDING, INC.
August 9, 2001 - January 22, 2007
ANTHEM SECURITIES, INC.
June 2, 1999 - March 1, 2001
WNC CAPITAL CORPORATION
March 22, 1994 - December 31, 1998
ENERIC FINANCIAL SERVICES, INC.
May 4, 1988 - July 3, 1990
LCP CAPITAL CORP.
July 27, 1985 - March 18, 1987
FOCUS SECURITIES, INC.
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
Series 62
Date: 11/23/2009
Corporate Securities Limited Representative ExaminationCurrent Firm
JCC CAPITAL MARKETS, LLC
CRD#: 146776 / SEC#: , 8-67850
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
