Mark C. Goggin
Professional summary
Mark Christopher Goggin, who also goes by Mark Goggin, is a registered financial professional currently at TJM INVESTMENTS, LLC located in Chicago, Illinois.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 4 firms and has passed the Series 57TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Christopher Goggin's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2015 - Present
TJM INVESTMENTS, LLC
Office #1: 318 W. Adams Street Suite 900, Chicago, IL 60606February 26, 1999 - June 20, 2014
CITIGROUP GLOBAL MARKETS INC.
April 4, 1989 - February 9, 1999
MORGAN STANLEY & CO. LLC
October 19, 1988 - March 8, 1989
CREDIT SUISSE SECURITIES (USA) 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 57TO
Date: 1/2/2023
Securities Trader ExamCboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
New York Stock Exchange
Current Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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