Mark A. Emola
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 Alan Emola was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2017 - May 9, 2019
PENSERRA SECURITIES, LLC
March 1, 2010 - May 18, 2017
CHEEVERS & COMPANY, LLC
December 14, 2007 - February 10, 2010
CABRERA CAPITAL MARKETS, LLC
March 20, 2004 - March 14, 2006
CASSANDRA TRADING GROUP, LLC
July 24, 2001 - October 23, 2001
MELVIN SPECIALISTS, L.L.C.
May 19, 1999 - April 12, 2001
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
September 11, 1991 - April 1, 1999
WELLS FARGO CLEARING SERVICES, LLC
August 25, 1988 - September 18, 1991
WINTRUST INVESTMENTS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 1/29/2008
Limited Representative-Equity Trader ExamCurrent Firm
PENSERRA SECURITIES, LLC
CRD#: 145994 / SEC#: , 8-67773
Contact information
FINRA licenses (17 States and Territories)
Documents
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.
