Mark J. Nuovo
Professional summary
Mark John Nuovo was barred by the FINRA 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 1990. Prior to being barred, Mark had worked at 15 firms, which includes A.G.P. / ALLIANCE GLOBAL PARTNERS, UVEST FINANCIAL SERVICES GROUP INC., COMPAK SECURITIES INC., COMPAK ASSET MANAGEMENT, WAMU INVESTMENTS INC., FISHER INVESTMENTS, CITICORP INVESTMENT SERVICES, IFMG SECURITIES INC., BANCWEST INVESTMENT SERVICES INC., CETERA INVESTMENT SERVICES LLC, FIRST INTERSTATE INVESTMENTSINC., WELLS FARGO SECURITIES INC., MARKETING ONE SECURITIES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2009 - January 31, 2012
A.G.P. / ALLIANCE GLOBAL PARTNERS
July 22, 2008 - January 31, 2012
A.G.P. / ALLIANCE GLOBAL PARTNERS
November 9, 2007 - April 2, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
November 9, 2007 - April 2, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
March 20, 2007 - August 31, 2007
COMPAK SECURITIES, INC.
March 19, 2007 - August 31, 2007
COMPAK ASSET MANAGEMENT
January 9, 2004 - May 4, 2005
WAMU INVESTMENTS, INC.
January 8, 2004 - May 4, 2005
WAMU INVESTMENTS, INC.
October 21, 2002 - February 12, 2003
FISHER INVESTMENTS
June 4, 2002 - October 3, 2002
CITICORP INVESTMENT SERVICES
April 3, 2002 - June 6, 2002
IFMG SECURITIES, INC.
November 21, 2000 - March 13, 2002
CITICORP INVESTMENT SERVICES
June 16, 2000 - November 27, 2000
BANCWEST INVESTMENT SERVICES, INC.
June 7, 2000 - November 27, 2000
CETERA INVESTMENT SERVICES LLC
June 19, 1996 - September 20, 1996
FIRST INTERSTATE INVESTMENTS,INC.
November 19, 1993 - April 15, 1999
WELLS FARGO SECURITIES INC.
January 14, 1992 - November 19, 1993
MARKETING ONE SECURITIES, INC.
May 21, 1990 - October 12, 1990
IDS LIFE INSURANCE COMPANY
May 21, 1990 - October 12, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
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
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
