Mark R. Giunta
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 Randolph Giunta, who also goes by Mark R Giunta, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2016 - April 25, 2017
J.P. MORGAN SECURITIES LLC
June 9, 2016 - April 25, 2017
J.P. MORGAN SECURITIES LLC
November 12, 2015 - June 2, 2016
VALIC FINANCIAL ADVISORS, INC.
November 10, 2015 - June 2, 2016
VALIC FINANCIAL ADVISORS, INC.
April 23, 2015 - November 10, 2015
EQUITABLE ADVISORS, LLC
April 21, 2015 - November 10, 2015
EQUITABLE ADVISORS, LLC
September 15, 2014 - January 26, 2015
EDWARD JONES
June 11, 2014 - January 26, 2015
EDWARD JONES
October 8, 1996 - March 17, 1997
DABNEY/RESNICK/IMPERIAL, LLC
March 19, 1996 - September 12, 1996
CITIGROUP GLOBAL MARKETS INC.
September 23, 1993 - August 5, 1994
CITIGROUP GLOBAL MARKETS INC.
August 28, 1992 - November 11, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 13, 1992 - August 19, 1992
H.J. MEYERS & CO., INC.
June 26, 1992 - July 28, 1992
J. W. GANT & ASSOCIATES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
