Mark G. Platt
Professional summary
Mark Gilbert Platt 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 1985. Prior to being barred, Mark had worked at 7 firms, which includes JOSEPHTHAL & CO. INC., H.J. MEYERS & CO. INC., PROSPERA FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., RAUSCHER PIERCE REFSNES INC., PRUDENTIAL EQUITY GROUP LLC, UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 1998 - October 2, 2001
JOSEPHTHAL & CO., INC.
January 22, 1997 - October 5, 1998
H.J. MEYERS & CO., INC.
May 25, 1995 - January 9, 1997
PROSPERA FINANCIAL SERVICES, INC.
July 30, 1993 - May 30, 1995
CITIGROUP GLOBAL MARKETS INC.
November 7, 1991 - July 16, 1993
RAUSCHER PIERCE REFSNES, INC.
April 4, 1989 - February 7, 1992
PRUDENTIAL EQUITY GROUP, LLC
April 24, 1985 - April 15, 1989
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
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