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Mark E. Bloom

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CRD#: 2248199
MB

Professional summary

Mark Evan Bloom was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Mark had worked at 4 firms, which includes SEIDMAN PRIVATE SECURITIES LLC, GRAMERCY FINANCIAL SERVICES LLC, WG TRADING COMPANY LIMITED PARTNERSHIP, WALSH GREENWOOD & CO..

top-8-questions

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.

Blog Corner

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®
None

Experience

Past

July 1, 2003 - December 3, 2003

SEIDMAN PRIVATE SECURITIES LLC

BD
CRD#: 125051
NEW YORK, NY
Past

April 15, 2002 - July 15, 2002

GRAMERCY FINANCIAL SERVICES LLC

BD
CRD#: 104302
GREENWICH, CT
Past

January 19, 1993 - July 13, 2001

WG TRADING COMPANY LIMITED PARTNERSHIP

BD
CRD#: 27308
GREENWICH, CT
Past

August 31, 1992 - December 31, 1992

WALSH, GREENWOOD & CO.

BD
CRD#: 8068
GREENWICH, CT

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
RR
Series 63
Date: 10/12/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/11/2000
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/24/2003
General Securities Principal Examination

Current Firm

SP
SEIDMAN PRIVATE SECURITIES LLC
SEIDMAN PRIVATE SECURITIES LLC | TAYLOR REID SECURITIES LLC

CRD#: 125051 / SEC#: , 8-65759

BD
Terminated by SEC on 07/19/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/21/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BDO SEIDMAN LLPOWNER
ALLENBERG, HOWARD BRUCEMANAGER
THORNTON, STEVEN LEEFINANCIAL & OPERATIONS PRINCIPAL4496384
WULFFLEFF, DOUGLAS RONALDPRESIDENT & CHIEF COMPLIANCE OFFICER1960837

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.

Company Information

SEIDMAN PRIVATE SECURITIES LLC

CRD#: 125051

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