Mark E. Anthony
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 Edward Anthony, who also goes by William Lewis Baldwin, was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1990. Mark had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2006 - December 20, 2006
VSG ASSET MANAGEMENT, LTD.
September 22, 2005 - December 31, 2010
BALDWIN INVESTMENT ADVISORS, INC.
July 29, 1998 - December 31, 2012
BALDWIN ANTHONY SECURITIES, INC.
March 2, 1998 - April 23, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
April 23, 1992 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
September 21, 1990 - April 24, 1992
KIDDER, PEABODY & CO. INCORPORATED
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
No current employment
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.
