Mark J. Chavez
Professional summary
Mark Joseph Chavez was barred by both the FINRA and 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 1993. Prior to being barred, Mark had worked at 8 firms, which includes PREFERRED SECURITIES GROUP INC., PARAGON CAPITAL MARKETS INC., BOLTON GLOBAL CAPITAL, SMITH BENTON & HUGHES INC., SECURITIES SERVICE NETWORK LLC, JWGENESIS SECURITIES INC., D. BLECH & COMPANY INCORPORATED, THE AGEAN GROUP INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 1997 - October 26, 1999
PREFERRED SECURITIES GROUP, INC.
February 18, 1997 - August 22, 1997
PARAGON CAPITAL MARKETS, INC.
October 28, 1996 - February 27, 1997
BOLTON GLOBAL CAPITAL
September 26, 1996 - November 1, 1996
SMITH, BENTON & HUGHES, INC.
August 17, 1995 - October 8, 1996
SECURITIES SERVICE NETWORK, LLC
September 26, 1994 - September 8, 1995
JWGENESIS SECURITIES, INC.
February 2, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
November 8, 1993 - February 10, 1994
THE AGEAN GROUP, INC
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
Current Firm
PREFERRED SECURITIES GROUP, INC.
CRD#: 35704 / SEC#: , 8-46946
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STOCNET CORPORATION | SHAREHOLDER | |
| GENNA, JOHN VINCENT JR | SHAREHOLDER | 2765236 |
| VARANO, NICHOLAS | SHAREHOLDER | 4246252 |
| BADGER, BERKLEY CREIGHTON | MUNI PRINCIPAL | 713972 |
| HOHMAN, MICHAEL JAMES | FIN/OP | 3031942 |
| LESSINGER, VICTOR ALAN | PRESIDENT, CHIEF COMPLIANCE OFFICER | 830821 |
| MCLEOD, GREGORY MALCOLM | SENIOR OPTION PRINCIPAL | 2741097 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
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.
