Mark T. Taggatz
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 Thomas Taggatz was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 5 firms and has passed the Series 63, Series 7, Series 22 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
July 17, 1991 - March 24, 1992
U.S. EQUITIES, INC.
April 19, 1989 - January 11, 1990
LEHMAN BROTHERS INC.
February 7, 1989 - March 29, 1989
OSBORNE, STERN & COMPANY, INC.
December 12, 1988 - January 12, 1989
FORTRESS SECURITIES, INC.
April 29, 1988 - November 21, 1988
ELLMAN & HOWE SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
U.S. EQUITIES, INC.
CRD#: 28249 / SEC#: , 8-43554
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
