Mark Tauzin
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 Tauzin was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 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
December 15, 2014 - October 24, 2016
SPIRIT CAPITAL
October 6, 2009 - November 14, 2014
LPL FINANCIAL LLC
September 25, 2009 - November 14, 2014
LPL FINANCIAL LLC
August 15, 2008 - August 20, 2009
RAYMOND JAMES & ASSOCIATES, INC.
January 1, 2008 - August 21, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 16, 1995 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 27, 1988 - January 23, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 1987 - January 4, 1988
SHERWOOD CAPITAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SPIRIT CAPITAL
CRD#: 130688 / SEC#:
Contact information
Red Flags
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