Mark R. Shaler
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 Randall Shaler, who also goes by Mark R Shaler, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6, Series 8, Series 53, Series 24 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2012 - June 3, 2015
STOCKCROSS FINANCIAL SERVICES, INC.
November 28, 2005 - October 29, 2010
STOCKCROSS FINANCIAL SERVICES, INC.
October 19, 2005 - January 1, 2007
TRADESTAR INVESTMENTS,INC.
July 12, 1999 - October 26, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 24, 1999 - July 12, 1999
BA INVESTMENT SERVICES, INC.
November 7, 1997 - May 1, 1998
TD AMERITRADE, INC.
May 2, 1991 - November 7, 1997
KENNEDY, CABOT & CO.
August 7, 1989 - November 15, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 19, 1989 - June 23, 1989
REMINGTON SECURITIES, INC.
November 7, 1988 - May 23, 1989
TOWER SQUARE SECURITIES, INC.
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: 2/21/2006
Limited Representative-Equity Trader ExamSeries 8
Date: 1/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STOCKCROSS FINANCIAL SERVICES, INC.
CRD#: 6670 / SEC#: 801-69705, 8-17758
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GEBBIA, JOHN MICHAEL | DIRECTOR, EVP | 1866455 |
| GEBBIA, RICHARD SAL | CEO, PRESIDENT, DIRECTOR | 2348552 |
| MURIEL SIEBERT & CO., INC. | OWNER | 5376 |
| COLOMBINO, MICHAEL JONATHAN | CFO; TREASURER | 4871852 |
| DIPIPPO, ALBERT FRANCIS | ROSFP | 726636 |
| LOGUE, DANIEL PATRICK | CHIEF COMPLIANCE OFFICER; AMLCO | 1501135 |
| SCHEBECE, GREGORY CHARLES | EXECUTIVE VICE PRESIDENT, COO | 1498632 |
| SHANKMAN, CRAIG MICHAEL | DIRECTOR OF TECHNOLOGY | |
| TASSELL, MATTHEW ERIC | DIRECTOR OF CORPORATE SERVICES | |
| ZABATTA, CHARLES ANTHONY SR | OWNER |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 2 |
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.
