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MD

Mark H. Davis

Some features on this profile are disabled
CRD#: 1849001
MD

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 Hal Davis was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

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

May 12, 2017 - June 12, 2018

FOCALPOINT SECURITIES, LLC

BD
CRD#: 133168
LOS ANGELES, CA
Past

April 3, 2012 - June 4, 2013

B. RILEY & CO., LLC

BD
CRD#: 40355
LOS ANGELES, CA
Past

October 5, 2010 - February 29, 2012

CANTOR FITZGERALD & CO.

BD
CRD#: 134
LOS ANGELES, CA
Past

May 15, 2009 - February 16, 2010

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
LOS ANGELES, CA
Past

February 24, 2005 - March 18, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LOS ANGELES, CA
Past

March 31, 2003 - August 3, 2004

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

November 28, 1997 - December 17, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 23, 1995 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

July 15, 1993 - April 4, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 25, 1992 - June 2, 1993

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
RR
Series 63
Date: 4/22/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/12/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/12/2002
General Securities Principal Examination

Current Firm

FS
FOCALPOINT SECURITIES, LLC
FOCALPOINT SECURITIES, LLC

CRD#: 133168 / SEC#: , 8-66697

BD
Terminated by SEC on 01/01/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 07/26/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
B. RILEY SECURITIES HOLDINGS, LLCDIRECT PARENT
BAKER, JAMES RICHARDPRESIDENT5834046
MARKUNAS, MICHAELCCO1832307
MOORE, ANDREW THOMASCEO4574997

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.

Company Information

FOCALPOINT SECURITIES, LLC

CRD#: 133168

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