Mark Mcveigh
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 Mcveigh, who also goes by Mark J Mcveigh, Mark James Mcveigh, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1989. Mark had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2018 - February 21, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 6, 2017 - July 12, 2018
CETERA INVESTMENT SERVICES LLC
April 11, 2011 - December 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
November 18, 2008 - January 3, 2011
LIBERTY LIFE SECURITIES LLC
March 8, 2007 - September 7, 2007
AMERITAS INVESTMENT COMPANY, LLC
January 14, 2003 - December 31, 2005
PLANMEMBER SECURITIES CORPORATION
July 23, 1999 - February 14, 2001
PLANMEMBER SECURITIES CORPORATION
May 1, 1989 - December 2, 1997
CAPITAL BROKERAGE CORPORATION
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
