Mark J. Gillis
Professional summary
Mark Joseph Gillis was barred by the FINRA 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 1993. Prior to being barred, Mark had worked at 7 firms, which includes WESTOR CAPITAL GROUP INC., HUDSON VALLEY CAPITAL MANAGEMENT, LASALLE ST SECURITIES L.L.C., KIMBALL & CROSS INVESTMENT MANAGEMENT CORP., TRAUTMAN WASSERMAN & COMPANY INC., TOLUCA PACIFIC SECURITIES CORP., DICKINSON & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2012 - November 8, 2012
WESTOR CAPITAL GROUP, INC.
December 16, 2009 - November 8, 2012
HUDSON VALLEY CAPITAL MANAGEMENT
January 9, 2009 - December 31, 2009
LASALLE ST SECURITIES, L.L.C.
October 25, 2002 - December 31, 2008
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
February 29, 1996 - November 20, 2002
TRAUTMAN WASSERMAN & COMPANY, INC.
July 7, 1995 - December 14, 1995
TOLUCA PACIFIC SECURITIES CORP.
August 24, 1993 - July 18, 1995
DICKINSON & CO.
State Registrations and Notice Filings
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Exams
Series 28
Date: 3/15/2010
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
WESTOR CAPITAL GROUP, INC.
CRD#: 103823 / SEC#: , 8-52311
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOHAWK MANAGEMENT CORP | SHARHOLDER | |
| EVERCORE CAPITAL ADVISORS LLC | SHAREHOLDER | |
| BACH, RICHARD HANS | PRESIDENT / CHIEF COMPLIANCE OFFICER / FINOP | 1011097 |
Disclosures
| Regulatory Event | 18 |
| Financial | 1 |
Red Flags
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