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Mark Nicholas Savoca

CRD# 1806919·Registered 1988 - 2011
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Nicholas Savoca was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1988 - 2011. Mark had worked at 11 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

DIMENSION TRADING GROUP, LLC·CRD# 147929
BD
New York, NY
July 20, 2011 - December 22, 2011
DIMENSION BROKERAGE, LLC·CRD# 136257
BD
New York, NY
August 13, 2008 - December 24, 2008
G-2 TRADING,LLC·CRD# 44018
BD
New York, NY
May 8, 2006 - September 29, 2006
KERN, SUSLOW SECURITIES, INC.·CRD# 24755
BD
New York, NY
April 5, 2001 - October 28, 2003
QUANTUM GROUP, LTD.·CRD# 33615
BD
Sloatsburg, NY
February 5, 1997 - March 10, 1997
JOSEPH ROBERTS & CO., INC.·CRD# 15971
BD
Pompano Beach, FL
April 18, 1995 - August 24, 1995
HANOVER, STERLING & COMPANY LTD.·CRD# 15491
BD
New York, NY
March 19, 1991 - July 11, 1995
GKN SECURITIES CORP.·CRD# 19415
BD
New York, NY
August 28, 1990 - January 29, 1991
J. W. GANT & ASSOCIATES, INC.·CRD# 7963
BD
January 24, 1990 - September 5, 1990
J. T. MORAN & CO., INC.·CRD# 15655
BD
November 3, 1989 - January 13, 1990
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
March 22, 1988 - September 12, 1989

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Current Firm

DT
DIMENSION TRADING GROUP, LLC

DIMENSION TRADING GROUP, LLC

CRD#: 147929 / SEC#: 8-67943
BD
Terminated by SEC on 05/27/2012

Contact Information

Established

New York since 07/01/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
DAIUTO JR, RALPH ANTHONYCO-MANAGING MEMBER, CEO2771292
POTTER, PHILIP GRZACCO-MANAGING MEMBER1995878
DISCENZA, PETER VINCENT JRCCO4386342
JONES, WILLIAM RUSSELL JROPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 2001About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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