Mark B. Davis
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 Baron Davis was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6, Series 4, Series 53, Series 8 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
January 28, 2014 - September 30, 2015
DEWAAY CAPITAL MANAGEMENT
May 18, 2007 - October 23, 2007
INTEGRITY ALLIANCE, LLC.
May 7, 2007 - October 23, 2007
INTEGRITY ALLIANCE, LLC.
March 28, 2005 - April 5, 2007
INVESTMENT ADVISORS CORP
January 4, 2005 - April 5, 2007
BROKER DEALER FINANCIAL SERVICES CORP.
June 18, 2002 - December 2, 2004
RUAN SECURITIES CORPORATION
January 22, 1997 - October 8, 2001
PRINCIPAL SECURITIES, INC.
July 15, 1996 - January 21, 1997
AMERITAS INVESTMENT COMPANY, LLC
January 3, 1994 - January 24, 1996
CETERA WEALTH SERVICES, LLC
May 18, 1992 - December 31, 1993
WALL STREET ACCESS
March 18, 1991 - May 18, 1992
UNITED PACIFIC FINANCIAL SERVICES, INC.
November 27, 1990 - March 22, 1991
MARKETING ONE SECURITIES, INC.
August 9, 1988 - November 15, 1990
PRINCIPAL SECURITIES, INC.
October 26, 1987 - August 15, 1988
NEW ENGLAND SECURITIES
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 8
Date: 3/5/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DEWAAY CAPITAL MANAGEMENT
CRD#: 116214 / SEC#: 801-61161
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
