Mark A. Radville
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 Alan Radville was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2002. Mark had worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2021 - March 7, 2024
COMMONFUND SECURITIES, INC.
April 16, 2015 - April 13, 2016
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
January 2, 2013 - April 13, 2016
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
January 2, 2013 - April 20, 2015
GUGGENHEIM SECURITIES, LLC
October 19, 2009 - December 31, 2012
GUGGENHEIM DISTRIBUTORS, LLC
June 22, 2009 - October 12, 2010
SECURITY GLOBAL INVESTORS
June 22, 2009 - April 14, 2016
GUGGENHEIM INVESTMENTS
May 8, 2009 - November 6, 2009
SECURITY DISTRIBUTORS
February 24, 2003 - April 8, 2005
FAM DISTRIBUTORS, INC.
September 19, 2002 - April 8, 2005
MERRILL LYNCH INVESTMENT MANAGERS LP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 4/22/2021
General Securities Representative ExaminationCurrent Firm
COMMONFUND SECURITIES, INC.
CRD#: 43541 / SEC#: , 8-50337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONFUND HOLDING COMPANY, INC. | SHAREHOLDER | |
| BARD, NANCY KIERNAN | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 1324063 |
| CERASUOLO, VIOLETTA | CHIEF COMPLIANCE OFFICER | 5362546 |
| DURRELL, SUSAN KERR | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 2945336 |
| HARITON, ANITA LYNNE | PRESIDENT AND CHIEF EXECUTIVE OFFICER; CHAIR, BOARD OF DIRECTORS | 4104946 |
| SPONGBERG, JONATHAN D | TREASURER | 5521666 |
Red Flags
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