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Mark Lawrence Finerman

CRD# 2361756·Registered 1993 - 2014
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Lawrence Finerman, who also goes by Mark Lawrence Finelnan, Mark Finerman, was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1993 - 2014. Mark had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mark Lawrence Finelnan, Mark Finerman

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

BRANT POINT CAPITAL, LLC·CRD# 153353
BD
Greenwich, CT
March 25, 2011 - June 16, 2014
NATWEST MARKETS SECURITIES INC.·CRD# 11707
BD
Greenwich, CT
February 13, 2002 - June 6, 2008
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
June 18, 1996 - December 13, 2001
NOMURA SECURITIES INTERNATIONAL, INC.·CRD# 4297
BD
New York, NY
August 6, 1993 - June 18, 1996

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Current Firm

BP
BRANT POINT CAPITAL, LLC

BRANT POINT CAPITAL, LLC

CRD#: 153353 / SEC#: 8-68526
BD
Terminated by SEC on 07/04/2016

Contact Information

Established

Delaware since 09/29/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
PPIH LPMEMBER—
AHUJA, ANILESHDIRECTOR1969746
JAY, EVAN DOUGLASCHIEF COMPLIANCE OFFICER2485902
MONTGOMERY, JOHN ANTHONY JRPRINCIPAL1380514
ZHENG, BEIQINGFINOP6241215

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1993About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1993About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1997About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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