Mark N. Luria
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 Nicholas Luria was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 6 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2002 - February 29, 2012
ICAP SECURITIES USA LLC
March 15, 2000 - January 25, 2002
ICAP SECURITIES USA LLC
September 28, 1998 - April 28, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
September 21, 1998 - October 26, 2000
INTERCAPITAL INTERNATIONAL INC.
October 11, 1995 - December 5, 1996
LIBERTY BROKERS
June 10, 1992 - September 15, 1998
TULLETT PREBON FINANCIAL SERVICES LLC
October 1, 1987 - May 12, 1992
TULLETT & TOKYO SECURITIES, INC.
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
ICAP SECURITIES USA LLC
CRD#: 19739 / SEC#: , 8-37947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICAP GLOBAL BROKING INC. | SOLE MEMBER | |
| BERNARDO, SHAWN FRANCIS | CEO | 2513376 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GOULET, STEPHEN PAUL | SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY | 4769810 |
| MURPHY, GREGORY FRANCIS | CHIEF OPERATING OFFICER | 1483320 |
| PEZEU, CHRISTIAN JEAN MICHEL | PRINCIPAL FINANCIAL OFFICER | 5661987 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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