Mark A. Orsi
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 Anthony Orsi was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1991. Mark had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
September 4, 2019 - October 9, 2020
LOOP CAPITAL MARKETS LLC
July 27, 2016 - March 21, 2018
MACQUARIE CAPITAL (USA) INC.
April 20, 2015 - July 5, 2016
CRT CAPITAL GROUP LLC
December 20, 2013 - April 20, 2015
STERNE, AGEE & LEACH, INC.
May 8, 2013 - January 10, 2014
MIZUHO SECURITIES USA LLC
April 17, 2006 - May 3, 2013
FM PARTNERS HOLDINGS LLC
May 1, 2001 - April 18, 2006
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
March 21, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
April 8, 1991 - March 17, 2000
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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