MM
Mark J. Mclain
LADENBURG THALMANN & CO.
New York, NY 10019
Some features on this profile are disabled
CRD#: 2429000
MM
Professional summary
Mark James Mclain is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1994. Mark has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 James Mclain'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
December 5, 2022 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019BD
CRD#: 505
New York, NY
Past
February 25, 2020 - May 31, 2022
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
January 9, 2017 - January 10, 2020
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
September 22, 2006 - January 3, 2017
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
Past
July 8, 2005 - September 25, 2006
KBR CAPITAL MARKETS, LLC
BD
CRD#: 128800
NEW YORK, NY
Past
January 2, 2003 - August 3, 2005
EKN FINANCIAL SERVICES INC.
BD
CRD#: 113525
MELVILLE, NY
Past
November 20, 2002 - January 9, 2003
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
Past
October 31, 2001 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
BD
CRD#: 14623
BETHPAGE, NY
Past
December 7, 1998 - March 22, 2002
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
Past
August 18, 1998 - November 19, 1998
TRADEWAY SECURITIES GROUP, INC.
BD
CRD#: 29794
CARLSBAD, CA
Past
June 19, 1997 - July 30, 1998
BILTMORE SECURITIES, INC.
BD
CRD#: 25023
FT. LAUDERDALE, FL
Past
December 12, 1996 - June 26, 1997
THE HAMILTON-SHEA GROUP, INC.
BD
CRD#: 37526
POMPANO BEACH, FL
Past
February 22, 1994 - October 16, 1996
JOSEPH ROBERTS & CO., INC.
BD
CRD#: 15971
POMPANO BEACH, FL
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(2/26/2025)
RR
Alaska(2/28/2025)
RR
Arizona(3/1/2023)
RR
Arkansas(3/5/2025)
RR
California(12/5/2022)
RR
Colorado(12/7/2022)
RR
Connecticut(12/5/2022)
RR
Delaware(7/18/2024)
RR
District of Columbia(3/6/2025)
RR
Florida(1/6/2023)
RR
Georgia(1/9/2023)
RR
Hawaii(2/27/2025)
RR
Idaho(2/26/2025)
RR
Illinois(12/14/2022)
RR
Indiana(2/26/2025)
RR
Iowa(3/3/2025)
RR
Kansas(2/26/2025)
RR
Kentucky(2/26/2025)
RR
Louisiana(2/26/2025)
RR
Maine(2/26/2025)
RR
Maryland(1/5/2023)
RR
Massachusetts(12/7/2022)
RR
Michigan(2/28/2025)
RR
Minnesota(1/6/2023)
RR
Mississippi(2/28/2025)
RR
Missouri(2/27/2025)
RR
Montana(2/26/2025)
RR
Nebraska(2/26/2025)
RR
Nevada(2/27/2025)
RR
New Hampshire(2/27/2025)
RR
New Jersey(1/5/2023)
RR
New Mexico(2/9/2023)
RR
New York(12/7/2022)
RR
North Carolina(1/6/2023)
RR
North Dakota(3/3/2025)
RR
Ohio(2/28/2025)
RR
Oklahoma(6/3/2024)
RR
Oregon(3/4/2025)
RR
Pennsylvania(2/27/2025)
RR
Rhode Island(2/27/2025)
RR
South Carolina(2/27/2025)
RR
South Dakota(2/26/2025)
RR
Tennessee(2/27/2025)
RR
Texas(1/6/2023)
RR
Utah(2/26/2025)
RR
Vermont(2/27/2025)
RR
Virginia(12/7/2022)
RR
Washington(2/26/2025)
RR
West Virginia(2/27/2025)
RR
Wisconsin(5/30/2023)
RR
Wyoming(2/26/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/18/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC. | LADENBURG, THALMANN & CO., INC.
CRD#: 505 / SEC#: , 8-17230
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
640 5th Avenue 4th Floor, New York, NY 10019
Mailing Address
640 5th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 409-2000
Established
Delaware since 12/03/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
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.
