Mark A. Cleland
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 Allan Cleland was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 27 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
November 24, 2008 - October 28, 2019
DONNELLY PENMAN & PARTNERS
January 12, 2005 - November 12, 2008
MULTI-BANK SECURITIES, INC.
May 21, 1998 - January 20, 2005
RAYMOND JAMES & ASSOCIATES, INC.
May 11, 1998 - September 25, 1999
RONEY & CO.
January 16, 1987 - May 11, 1998
RONEY & CO. L.L.C.
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
DONNELLY PENMAN & PARTNERS
CRD#: 104448 / SEC#: , 8-52909
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHRISTIANS, ANDREW CHARLES | TREASURER | 5275038 |
| CUNNINGHAM, GREGORY H | SENIOR VICE PRESIDENT | 6009077 |
| LAMB, JEREMY LOUIS | SECRETARY | 4577771 |
| PENMAN, JAMES CARL | CEO | 2407009 |
| VORHEES, ROY WEBSTER IV | SENIOR VICE PRESIDENT | 4350755 |
| BERNARD, JOHN XAVIER | ASSOCIATE | 6828249 |
| MOLITOR, MICHAEL ARTHUR | ASSOCIATE | 7453889 |
| SADZEWICZ, GERY JOSEPH | CHIEF COMPLIANCE OFFICER | 1090963 |
| SHEA, THOMAS EDWARD | FINOP | 2299633 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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