Mark D. Lay
Professional summary
Mark Douglas Lay MR. was barred by the SEC 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 1989. Prior to being barred, Mark had worked at 4 firms, which includes MDL CAPITAL MANAGEMENT INCORPORATED, NORTHEAST SECURITIES LLC, CARTWRIGHT AND WALKER SECURITIES INCORPORATED, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2003 - December 31, 2007
MDL CAPITAL MANAGEMENT, INCORPORATED
May 3, 1995 - April 23, 1996
NORTHEAST SECURITIES, LLC
December 11, 1992 - July 11, 1995
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED
November 24, 1989 - August 6, 1992
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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