Mark A. Nauman
Professional summary
Mark Anthony Nauman, who also goes by Mark Nauman, is a registered financial professional currently at DINOSAUR FINANCIAL GROUP, L.L.C located in Wake Forest, North Carolina.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1996. Mark has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 25, Series 27, Series 12, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Anthony Nauman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2016 - Present
DINOSAUR FINANCIAL GROUP, L.L.C
April 28, 2015 - January 15, 2016
TULLETT PREBON FINANCIAL SERVICES LLC
January 2, 2014 - April 30, 2015
LAMPERT CAPITAL MARKETS INC.
October 1, 2000 - January 6, 2014
KCCI, LTD.
August 15, 1996 - December 15, 2000
HAPOALIM SECURITIES USA, 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
(7/12/2017)
(1/21/2016)
(7/13/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/6/2010
Limited Representative-Equity Trader ExamSeries 25
Date: 2/17/2000
NYSE Trading Assistant ExaminationSeries 12
Date: 10/1/2000
NYSE Branch Manager ExaminationFINRA
Nasdaq Stock Market
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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