Mark R. Page
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 Randall Page, who also goes by Mark R Page, Mark Page, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 10 firms and has passed the Series 63, Series 22TO, SIE 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
January 19, 2023 - December 31, 2023
J. ALDEN ASSOCIATES, INC.
June 15, 2021 - July 22, 2021
CEDRUS
May 15, 2009 - October 3, 2022
TAILWIND ADVISORS
May 30, 2006 - November 1, 2006
AMERICAN SECURITIES GROUP, INC.
June 26, 2003 - October 8, 2007
AMERICAN SECURITIES GROUP, INC.
March 7, 2003 - September 3, 2008
TRUE NORTH ADVISORS, LLC
June 9, 1997 - January 30, 2003
MORGAN STANLEY DW INC.
June 6, 1997 - January 30, 2003
MORGAN STANLEY DW INC.
April 28, 1997 - May 20, 1997
MORGAN STANLEY DW INC.
June 22, 1994 - May 6, 1997
UBS FINANCIAL SERVICES INC.
August 27, 1991 - June 29, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 1990 - August 30, 1991
DOMINION CAPITAL CORPORATION
February 6, 1989 - May 18, 1989
EQUITY MUTUAL CORPORATION
November 25, 1987 - February 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 22TO
Date: 1/19/2023
Direct Participation Programs Representative ExaminationCurrent Firm
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
