Mark Leventhal
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 Leventhal was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 5 firms and has passed the Series 66, Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2011 - October 26, 2012
TD AMERITRADE, INC.
June 21, 2011 - October 26, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 7, 2011 - October 26, 2012
TD AMERITRADE, INC.
January 7, 2003 - September 21, 2010
HUDSON SECURITIES,INC.
March 31, 1989 - December 31, 2002
UBS CAPITAL MARKETS L.P.
November 18, 1986 - March 7, 1989
NASH, WEISS & CO.
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 55
Date: 3/3/1999
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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