Mark A. Ginsberg
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 Alan Ginsberg was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1986. Mark had worked at 11 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2001 - October 15, 2003
EAGLE STRATEGIES LLC
May 11, 1995 - January 27, 2005
NYLIFE SECURITIES LLC
April 19, 1993 - December 1, 1994
BA INVESTMENT SERVICES, INC.
November 3, 1992 - April 8, 1993
COMMONWEALTH FINANCIAL NETWORK
March 20, 1991 - October 27, 1992
FIRST INTERSTATE INVESTMENTS,INC.
March 1, 1990 - March 14, 1991
DICKINSON & CO.
November 25, 1988 - February 6, 1989
IFMG SECURITIES, INC.
March 10, 1988 - October 11, 1988
ALLIED GROUP SECURITIES CORPORATION
January 29, 1988 - April 5, 1988
ACAP FINANCIAL INC.
February 12, 1987 - January 4, 1988
MARKETING ONE SECURITIES, INC.
April 7, 1986 - March 2, 1987
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
