Mark M. Ross
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 Montgomery Ross was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 8 firms and has passed the Series 63, SIE, Series 55 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
January 13, 2011 - October 2, 2017
LEK SECURITIES CORPORATION
November 18, 2010 - January 26, 2011
GENESIS SECURITIES, LLC
September 13, 2006 - November 16, 2010
GENESIS SECURITIES, LLC
November 23, 2005 - August 30, 2006
CARLIN EQUITIES, LLC
November 22, 2004 - November 18, 2005
GENESIS SECURITIES, LLC
February 3, 2004 - October 28, 2004
CARLIN EQUITIES, LLC
January 2, 2003 - January 16, 2004
A.B. WATLEY, INC.
July 15, 2002 - December 20, 2002
DELAFIELD HAMBRECHT, INC.
November 17, 1999 - June 5, 2002
PACIFIC CREST SECURITIES LLC
March 13, 1998 - November 15, 1999
WELLS FARGO CLEARING SERVICES, LLC
February 9, 1994 - November 3, 1995
FINANCIAL SQUARE PARTNERS
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 55
Date: 1/9/2003
Limited Representative-Equity Trader ExamCurrent Firm
LEK SECURITIES CORPORATION
CRD#: 33135 / SEC#: , 8-42152
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 42 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
