Mark W. Pasquali
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 William Pasquali was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2014 - February 27, 2015
DAVID LERNER ASSOCIATES, INC.
October 11, 2010 - September 18, 2013
EAST SHORE PARTNERS, INC.
May 12, 2009 - September 1, 2010
ISI CAPITAL, LLC
September 2, 2003 - November 4, 2005
PALI CAPITAL, INC.
June 17, 2002 - July 2, 2002
GRANTA CAPITAL GROUP LLC
July 15, 1999 - December 31, 1999
NEUBERGER BERMAN BD LLC
September 13, 1988 - November 9, 1999
CHELA TECHNOLOGY PARTNERS, LLC
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: 6/20/2002
Limited Representative-Equity Trader ExamCurrent Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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