Mark E. Field
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 Earl Field was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1973. Mark had worked at 6 firms and has passed the Series 63, Series 55, Series 41, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2010 - June 24, 2013
GUGGENHEIM SECURITIES, LLC
September 10, 2007 - September 7, 2010
SUMMIT SECURITIES GROUP LLC
August 14, 2002 - February 2, 2007
AURIA SERVICES CORP.
March 15, 2002 - August 8, 2002
SEARLE & CO.
November 22, 1996 - May 12, 2000
SCHRODER & CO. INC.
January 19, 1973 - May 10, 1996
SALOMON BROTHERS 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: 10/1/2004
Limited Representative-Equity Trader ExamSeries 41
Date: 9/15/1984
NYSE Allied Member ExaminationSeries 1
Date: 1/18/1973
Registered Representative ExaminationSeries 40
Date: 12/7/1977
Registered Principal ExaminationCurrent Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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