Mark A. Serniuk
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 Andrew Serniuk, who also goes by Mark A Serniuk, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 9 firms and has passed the Series 63, Series 25, 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
April 10, 2007 - November 8, 2012
THE GRISWOLD COMPANY, INCORPORATED
March 29, 2006 - April 18, 2007
E*TRADE SECURITIES LLC
June 1, 2005 - March 17, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
November 15, 2004 - May 5, 2005
GRANTA CAPITAL GROUP LLC
March 3, 2003 - January 5, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
June 4, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
May 7, 2001 - June 18, 2002
WINDSOR CAPITAL ADVISORS, LLC
November 29, 2000 - May 10, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 19, 1998 - November 17, 2000
APEX CLEARING CORPORATION
August 22, 1994 - February 25, 1998
NATHAN & LEWIS SECURITIES, 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
Series 25
Date: 11/6/2007
NYSE Trading Assistant ExaminationSeries 55
Date: 4/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
THE GRISWOLD COMPANY, INCORPORATED
CRD#: 32944 / SEC#: , 8-40096
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DODMAN, MARY CATHERINE | VOTING-COMMON | 3215210 |
| MCCOOEY, KEVIN CONNORS | VOTING-COMMON | 3215211 |
| MCCOOEY, MARK JOSEPH | PRESIDENT, DIRECTOR, CHIEF OPERATING OFFICER AND CORPORATE SECRETARY, CHAIRMAN OF THE BOARD, VOTING-COMMON | 2087890 |
| MCCOOEY, MICHAEL PIERCE | VOTING-COMMON | 2356020 |
| MCCOOEY, ROBERT HERBERT JR | VOTING-COMMON | 1291202 |
| RUDNET, MARC | NON-VOTING COMMON | 2752975 |
| GALVANI, JEFFREY KENNETH | CHIEF COMPLIANCE OFFICER | 3048728 |
| HAUPT, MICHAEL STUART | DIRECTOR, NON-VOTING COMMON | 2865821 |
| SMITH, ALFRED | OUTSIDE DIRECTOR | 1681387 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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