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MG

Mark Harry Goldwasser

CEROS FINANCIAL SERVICES

ROCKVILLE, MD

·CRD# 1334008·41 years experience

Professional Summary

Mark Harry Goldwasser, who also goes by Goldie Goldwasser, Mark Goldwasser, is a registered financial advisor currently at CEROS FINANCIAL SERVICES, INC. located in Rockville, Maryland. Mark is registered as a RR (Registered Representative) and started their career in finance in 1985. Mark has worked at 10 firms and has passed the Series 63, Series 82TO, Series 79TO, Series 99TO, Series 72, SIE, Series 7, Series 8 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Goldie Goldwasser, Mark Goldwasser

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

CEROS FINANCIAL SERVICES, INC.·CRD# 37869

BD

1. 1445 Research Blvd., Ste 530, Rockville, MD 208502. Miami Beach, FL3. 218 Nw 24 St 2nd Floor, Miami, FL 33127

July 2, 2019 - Present

AEGIS CAPITAL CORP.·CRD# 15007

BD

New York, NY

August 15, 2017 - January 24, 2019

VFINANCE INVESTMENTS, INC·CRD# 44962

BD

Boca Raton, FL

October 12, 2012 - July 8, 2016

NATIONAL SECURITIES CORPORATION·CRD# 7569

BD

New York, NY

July 12, 2000 - July 8, 2016

ABN AMRO SECURITIES LLC·CRD# 6540

BD

New York, NY

July 1, 1998 - July 5, 2000

ING BARING (U.S.) SECURITIES, INC.·CRD# 5285

BD

New York, NY

March 31, 1997 - July 1, 1998

SCHRODER & CO. INC.·CRD# 6112

BD

New York, NY

April 19, 1996 - March 25, 1997

JEFFERIES LLC·CRD# 2347

BD

New York, NY

October 31, 1995 - April 17, 1996

SCHRODER & CO. INC.·CRD# 6112

BD

New York, NY

February 15, 1995 - November 2, 1995

LAZARD FRERES & CO. LLC·CRD# 2528

BD

New York, NY

March 27, 1991 - January 19, 1995

J.P. MORGAN SECURITIES LLC·CRD# 79

BD

New York, NY

May 21, 1985 - March 18, 1991

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Current Firm

CF

CEROS FINANCIAL SERVICES, INC.

ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: 8-47955

BD

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Contact Information

Main Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Mailing Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Phone Number

(866) 842-3356

Established

Massachusetts since 09/30/1994

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DGB HOLDINGS, LLC	OWNER	—
AYERS-RIGSBY, MARY CATHERINE	PRESIDENT	830349
GOLDWASSER, MARK HARRY	CEO	1334008
GREENE, JON CHRISTOPHER	ROSFP	3202524
HOLLAND, ANGELA LYNNETTE	CHIEF COMPLIANCE OFFICER	3166586
POWELL, KIM ULMAN	CHIEF FINANCIAL OFFICER	6244231
WILSON, DANIEL	AMLCO	6763074

Disclosures

Regulatory Event

5

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

California
(7/12/2019)

RR

Connecticut
(7/12/2019)

RR

Delaware
(4/12/2021)

RR

Florida
(7/12/2019)

RR

Illinois
(4/12/2021)

RR

Maryland
(7/3/2019)

RR

Massachusetts
(4/12/2021)

RR

New Jersey
(7/12/2019)

RR

New York
(7/10/2019)

RR

Washington
(7/25/2019)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1988About the Series 63 exam

Series 82TO — Limited Representative-Private Securities Offerings

Passed Jan 2023About the Series 82TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 72 — Government Securities Representative Examination

Passed Jan 2023

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1985About the Series 7 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Sep 1999

Series 24 — General Securities Principal Examination

Passed Sep 1998About the Series 24 exam

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Mark Harry Goldwasser's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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MG

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