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Mark E. Mccaffrey

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CRD#: 1811502
MM

Professional summary

Mark Edward Mccaffrey was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Mark had worked at 6 firms, which includes BANC OF AMERICA INVESTMENT SERVICES INC., MORGAN STANLEY DW INC., FIRST UNION CAPITAL MARKETS CORP., CHASE INVESTMENT SERVICES CORP., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 14, 2003 - August 6, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
CHEVY CHASE, MD
Past

March 14, 2003 - August 6, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

June 24, 1999 - March 19, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
ALEXANDRIA, VA
Past

June 16, 1999 - March 19, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 30, 1996 - July 14, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

April 19, 1995 - June 28, 1996

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

July 31, 1993 - May 5, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 20, 1990 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/24/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/12/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 5/26/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1990
General Securities Representative Examination

Current Firm

BO
BANC OF AMERICA INVESTMENT SERVICES, INC.
BANC OF AMERICA INVESTMENT SERVICES, INC. | NCNB SECURITIES, INC. | NATIONSBANC SECURITIES, INC. | NATIONSBANC INVESTMENTS, INC.

CRD#: 16361 / SEC#: , 8-33805

BD
Terminated by SEC on 12/27/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 06/14/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MERRILL LYNCH & CO., INC.SHAREHOLDER
BENSON, MARK JARRETTPRESIDENT/CEO/DIRECTOR/CHAIRMAN1915552
CALL, JOHN SCOTTSVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE2815968
NEWTH, RONALD JOSEPHCHIEF OPERATING OFFICER/DIRECTOR1454390
OSAKI, ISAACCHIEF LEGAL OFFICER4910551
ROMANO, JOHN GARYCFO/DIRECTOR5078610

Disclosures

Regulatory Event53
Civil Event1
Arbitration68

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

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