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Mark Evan Lenowitz

CRD# 1459946·Registered 1993 - 1997
Barred: Mark Evan Lenowitz was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Mark Evan Lenowitz, who also goes by Mark Lenowitz, was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1993 - 1997. Mark had worked at 2 firms and has passed the Series 63, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mark Lenowitz

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

33 years in the financial services industry

Current & Past Employments

YAMAICHI INTERNATIONAL (AMERICA) INC.·CRD# 909
BD
New York, NY
November 13, 1995 - January 23, 1997
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
March 26, 1993 - April 21, 1994

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Current Firm

YI
YAMAICHI INTERNATIONAL (AMERICA) INC.

YAMAICHI INTERNATIONAL (AMERICA) INC.

CRD#: 909 / SEC#: 8-4877
BD
Terminated by SEC on 07/07/1998

Contact Information

Established

New York since 01/03/1956

Firm Type

Corporation

Fiscal Year End

March

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.
This advisor is not registered in any state.

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 Mar 1993About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed May 1994About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Mar 1993About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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