MG
Mark C. Glad
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CRD#: 222573
MG
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 Clayton Glad was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1969. Mark had worked at 20 firms and has passed the Series 63, Series 16, Series 1 and Series 000 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 23, 2003 - May 23, 2005
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
November 18, 2002 - December 31, 2002
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
September 4, 2001 - November 27, 2002
DIRKS & COMPANY, INC.
BD
CRD#: 42185
NEW YORK, NY
Past
June 18, 1998 - November 29, 1999
WIN CAPITAL CORP.
BD
CRD#: 36172
BAYVILLE, NY
Past
May 3, 1996 - June 11, 1998
DU PASQUIER & CO., INC.
BD
CRD#: 24750
NEW YORK, NY
Past
May 11, 1995 - May 7, 1996
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
April 7, 1995 - May 4, 1995
HAMPSHIRE SECURITIES CORPORATION
BD
CRD#: 19725
NEW YORK, NY
Past
January 9, 1992 - March 21, 1995
FAB SECURITIES OF AMERICA, INC.
BD
CRD#: 28212
NEW YORK, NY
Past
October 25, 1991 - December 23, 1991
BAIRD, PATRICK & CO., INC.
BD
CRD#: 1149
FAIRFIELD, NJ
Past
February 1, 1990 - October 21, 1991
JJC SECURITIES CO., INC.
BD
CRD#: 3144
Past
January 2, 1990 - January 27, 1990
HANIFEN, IMHOFF SECURITIES CORP.
BD
CRD#: 10620
Past
June 28, 1988 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
BD
CRD#: 6917
Past
January 6, 1988 - June 2, 1988
PHILIPS, APPEL & WALDEN, INC.
BD
CRD#: 659
Past
August 28, 1985 - December 14, 1987
STEINBERG & LYMAN
BD
CRD#: 15704
Past
March 8, 1983 - August 12, 1985
BAIRD, PATRICK & CO., INC.
BD
CRD#: 1149
Past
July 14, 1982 - March 17, 1983
PHILIPS, APPEL & WALDEN, INC.
BD
CRD#: 659
Past
June 6, 1979 - July 7, 1982
JII SECURITIES INC.
BD
CRD#: 406
Past
March 16, 1976 - June 6, 1979
ZUCKERMAN, SMITH & CO., INC.
BD
CRD#: 3827
Past
December 17, 1975 - June 9, 1976
JAS. H. OLIPHANT & CO., INC.
BD
CRD#: 464
Past
August 17, 1973 - November 16, 1975
PHILIPS, APPEL & WALDEN, INC.
BD
CRD#: 659
Past
January 15, 1973 - September 24, 1973
CANNON, JEROLD & CO., INC.
BD
CRD#: 5318
Past
April 13, 1972 - March 8, 1973
WALLACH & CO.
BD
CRD#: 5652
Past
November 11, 1971 - May 10, 1972
WEIS SECURITIES, INC.
BD
CRD#: 880
Past
October 22, 1969 - June 14, 1973
BROOKDALE SECURITIES CORPORATI ON
BD
CRD#: 746
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/13/1959
Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 000
Date: 5/23/1958
General Securities Principal ExaminationCurrent Firm
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Phone number
(212) 813-1010
Established
New York since 01/15/1984
Firm type
Corporation
Fiscal year end
November
Firm Size
Medium
# of Employees
270
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGIS CAPITAL HOLDING CORP. | HOLDING COMPANY | |
| EIDE, ROBERT JAY | CEO, SECRETARY, CLO, DIRECTOR | 1015261 |
| FEINMAN, ROBERT STEVEN | CHIEF COMPLIANCE OFFICER | 205708 |
| KOTT, GEORGE GREGORY | CHIEF OPERATING OFFICER | 2876578 |
| MCKENNA, FRANCIS J | MUNICIPAL PRINCIPAL | 4825383 |
| MILLER, JOHN STEVENSON | CO-FINOP | 2139980 |
| POSS, THOMAS CHAMPNEY | CHIEF FINANCIAL OFFICER, CO-FINOP | 2547521 |
Regulatory assets under management
| Total Number of Accounts | 2,760 |
| AUM (Assets Under Management) | $ 1,430,612,106 |
Disclosures
| Regulatory Event | 40 |
| Arbitration | 1 |
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.
