Mark C. Gannon
Professional summary
Mark Christopher Gannon is a registered financial professional currently at ASL CAPITAL MARKETS INC. located in Stamford, Connecticut.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1994. Mark has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Christopher Gannon's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 18, 2019 - Present
ASL CAPITAL MARKETS INC.
Office #1: 600 Summer Street Suite 402, Stamford, CT 06901March 17, 2014 - July 10, 2017
BMO CAPITAL MARKETS CORP.
January 23, 2012 - February 26, 2014
CRT CAPITAL GROUP LLC
June 9, 2009 - December 5, 2011
MF GLOBAL INC.
July 26, 1994 - May 4, 2009
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2020)
(1/7/2020)
(1/8/2020)
(1/2/2020)
(1/2/2020)
(1/21/2020)
(12/19/2019)
(1/2/2020)
(1/8/2020)
(2/11/2020)
(1/3/2020)
(1/7/2020)
(2/25/2020)
(1/3/2020)
(1/6/2020)
(1/14/2020)
(1/7/2020)
(1/3/2020)
(1/6/2020)
(1/2/2020)
(2/19/2020)
(1/6/2020)
(1/2/2020)
(1/6/2020)
(1/2/2020)
(1/2/2020)
(1/22/2020)
(1/6/2020)
(1/3/2020)
(1/17/2020)
(1/3/2020)
(1/2/2020)
(1/3/2020)
(1/6/2020)
(1/2/2020)
(1/9/2020)
(1/3/2020)
(1/2/2020)
(1/8/2020)
(1/7/2020)
(1/2/2020)
(1/6/2020)
(1/2/2020)
(1/2/2020)
(1/2/2020)
(1/3/2020)
(1/2/2020)
(1/8/2020)
(1/2/2020)
(1/2/2020)
Exams
FINRA
Current Firm
ASL CAPITAL MARKETS INC.
CRD#: 286115 / SEC#: , 8-69872
Contact information
FINRA licenses (50 States and Territories)
Documents
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.
