Mark H. Gutman
Professional summary
Mark Harris Gutman, who also goes by Mark Gutman, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in Chicago, Illinois.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Harris Gutman's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 10, 2024 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 425 S Financial Place Suite 3900, Chicago, IL 60605November 13, 2023 - July 5, 2024
OPPENHEIMER & CO. INC.
June 12, 2019 - September 26, 2023
FHN FINANCIAL SECURITIES CORP.
February 7, 2007 - May 8, 2019
WILLIAM BLAIR
February 6, 2007 - May 8, 2019
WILLIAM BLAIR
July 6, 2006 - February 6, 2007
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
June 12, 2006 - February 6, 2007
NORTH STAR INVESTMENT SERVICES, INC.
February 7, 1994 - June 21, 2006
MESIROW FINANCIAL, INC.
June 30, 1993 - February 25, 1994
YOUNG CAPITAL GROUP (LIMITED PARTNERSHIP)
November 5, 1988 - October 12, 1989
CALAMOS FINANCIAL SERVICES LLC
February 8, 1988 - October 25, 1988
METROPOLITAN LIFE INSURANCE COMPANY
February 8, 1988 - October 25, 1988
MSI FINANCIAL SERVICES, 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
(7/23/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SAMUEL A. RAMIREZ & COMPANY, INC.
CRD#: 6963 / SEC#: , 8-19014
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAR HOLDINGS, INC. | HOLDING COMPANY | |
| GOLDMAN, LAWRENCE F | MANAGING DIRECTOR | 1134640 |
| KICK, MICHAEL J | SR. VP/ CFO/ FIN OP | 4480676 |
| KOFFER, JOSEPH | CHIEF COMPLIANCE OFFICER | 6043686 |
| MAZZARO, VINCENT ANTHONY | COO | 2665339 |
| PERROTTA, THOMAS | MANAGING DIRECTOR | 1864851 |
| RAMIREZ, SAMUEL ALFRED | PRESIDENT & DIRECTOR/SECRETARY | 827095 |
| RAMIREZ,, SAMUEL ALFRED JR | MANAGING DIRECTOR | 2261054 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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