Mark P. Augustine
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 Philip Augustine 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, Series 7, Series 28, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 1993 - January 23, 1997
FIRST COLORADO FINANCIAL SERVICES COMPANY, INC.
November 17, 1992 - April 27, 1993
INTERVEST INTERNATIONAL EQUITIES CORPORATION
April 14, 1989 - September 7, 1989
ANDERSON, BRYANT & CO.
February 26, 1988 - September 10, 1988
GILLESPIE & HOLLAND, INC.
May 21, 1987 - March 17, 1988
INSTITUTIONAL ASSET MANAGEMENT
January 30, 1986 - June 3, 1987
SLATERY SECURITIES GROUP, INC.
May 23, 1985 - November 18, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
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 28
Date: 6/23/1993
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FIRST COLORADO FINANCIAL SERVICES COMPANY, INC.
CRD#: 22734 / SEC#: , 8-39973
Contact information
Documents
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.
