ML
Mark D. Lawrence
MACQUARIE CAPITAL (USA)
NEW YORK, NY 10103
Some features on this profile are disabled
CRD#: 2330426
ML
Professional summary
Mark David Lawrence, who also goes by Mark Lawrence, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1993. Mark has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark Lawrence
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) - BD
Click below to view Mark David Lawrence's CRS (Customer Relationship Summary).
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
Current
August 2, 2004 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 660 5th Ave, New York, NY 10103BD
CRD#: 36368
NEW YORK, NY
Past
April 30, 2001 - August 2, 2004
ING FINANCIAL MARKETS LLC
BD
CRD#: 28872
NEW YORK, NY
Past
July 1, 1998 - April 30, 2001
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
March 31, 1996 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
BD
CRD#: 5285
NEW YORK, NY
Past
March 22, 1993 - March 6, 1996
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/26/2021)
RR
Alaska(10/16/2008)
RR
Arizona(2/26/2021)
RR
Arkansas(2/26/2021)
RR
California(2/5/2007)
RR
Colorado(2/26/2021)
RR
Connecticut(1/2/2014)
RR
Delaware(2/26/2021)
RR
District of Columbia(1/20/2012)
RR
Florida(2/5/2007)
RR
Georgia(7/24/2019)
RR
Hawaii(2/26/2021)
RR
Idaho(2/26/2021)
RR
Illinois(1/20/2012)
RR
Indiana(2/26/2021)
RR
Iowa(2/26/2021)
RR
Kansas(2/26/2021)
RR
Kentucky(2/26/2021)
RR
Louisiana(2/26/2021)
RR
Maine(2/26/2021)
RR
Maryland(2/26/2021)
RR
Massachusetts(2/5/2007)
RR
Michigan(2/26/2021)
RR
Minnesota(2/26/2021)
RR
Mississippi(2/26/2021)
RR
Missouri(1/3/2013)
RR
Montana(2/26/2021)
RR
Nebraska(11/12/2024)
RR
Nevada(2/26/2021)
RR
New Hampshire(2/26/2021)
RR
New Jersey(10/16/2008)
RR
New Mexico(2/26/2021)
RR
New York(8/2/2004)
RR
North Carolina(2/26/2021)
RR
North Dakota(2/26/2021)
RR
Ohio(3/1/2021)
RR
Oklahoma(2/26/2021)
RR
Oregon(2/26/2021)
RR
Pennsylvania(2/26/2021)
RR
Puerto Rico(11/12/2024)
RR
Rhode Island(2/26/2021)
RR
South Carolina(2/26/2021)
RR
South Dakota(2/26/2021)
RR
Tennessee(2/26/2021)
RR
Texas(8/22/2012)
RR
Utah(2/26/2021)
RR
Vermont(2/26/2021)
RR
Virgin Islands(2/26/2021)
RR
Virginia(2/26/2021)
RR
Washington(2/26/2021)
RR
West Virginia(2/26/2021)
RR
Wisconsin(2/26/2021)
RR
Wyoming(2/26/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/26/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MC
MACQUARIE CAPITAL (USA) INC.
MACQUARIE CAPITAL (USA) INC. | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.
CRD#: 36368 / SEC#: , 8-47198
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
660 5th Ave, New York, NY 10103
Mailing Address
660 5th Ave, New York, NY 10103
Phone number
(212) 231-1000
Established
Delaware since 03/01/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 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.
