Mark A. Springer
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 Anthony Springer was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 12 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2008 - August 18, 2014
AURIA SERVICES CORP.
September 18, 2006 - November 28, 2007
BARCLAYS CAPITAL INC.
October 22, 2002 - October 1, 2004
VINING-SPARKS IBG, LLC
March 15, 2000 - April 19, 2000
WORLDCO, L.L.C.
January 13, 2000 - July 17, 2000
LIGHTSPEED PROFESSIONAL TRADING LLC
July 16, 1998 - September 10, 1999
OPPENHEIMER & CO. INC.
May 7, 1997 - November 25, 1997
TUCKER ANTHONY INCORPORATED
June 24, 1994 - May 25, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
March 14, 1990 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
March 14, 1990 - April 27, 1994
FIRST INSTITUTIONAL SECURITIES, L.L.C.
July 18, 1989 - September 14, 1989
EDKO SECURITIES
January 19, 1988 - May 9, 1988
NEUBERGER BERMAN BD 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: 10/21/2002
Limited Representative-Equity Trader ExamCurrent Firm
AURIA SERVICES CORP.
CRD#: 27851 / SEC#: , 8-43249
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AURIA CAPITAL INC. | OWNER | |
| ERNST, MANFRED HARALD | PRESIDENT, CCO | 1953506 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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