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MD

Mark G. Downey

Some features on this profile are disabled
CRD#: 2517476
MD

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 Gerard Downey was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 14 firms and has passed the Series 27 exam.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 15, 2014 - April 17, 2015

DPEC CAPITAL, INC.

BD
CRD#: 103737
NEW YORK, NY
Past

June 26, 2013 - December 20, 2013

HEDGE HARBOR INC.

BD
CRD#: 44324
NEW YORK, NY
Past

April 8, 2010 - August 12, 2011

COWEN SECURITIES LLC

BD
CRD#: 23510
NEW YORK, NY
Past

January 12, 2007 - May 17, 2007

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

January 11, 2007 - June 13, 2007

PREBON SECURITIES (USA) INC.

BD
CRD#: 20431
JERSEY CITY, NJ
Past

January 11, 2007 - November 14, 2008

TULLETT LIBERTY BROKERAGE INC.

BD
CRD#: 19717
JERSEY CITY, NJ
Past

January 11, 2007 - July 2, 2009

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
JERSEY CITY, NJ
Past

January 10, 2007 - July 2, 2009

PREBON FINANCIAL PRODUCTS INC.

BD
CRD#: 29551
JERSEY CITY, NJ
Past

May 8, 2006 - December 19, 2006

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

January 3, 2006 - May 22, 2006

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, NY
Past

March 14, 2000 - May 17, 2005

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY
Past

March 9, 1999 - March 14, 2000

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

August 1, 1997 - March 1, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

July 10, 1995 - July 17, 1997

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 27
Date: 7/3/1995
Financial and Operations Principal Examination

Current Firm

DC
DPEC CAPITAL, INC.
DPEC CAPITAL, INC. | INVESTPRIVATE.COM,INC. | INVESTPRIVATE.COM, INC. | INVESTPRIVATE, INC.

CRD#: 103737 / SEC#: , 8-52230

BD
Terminated by SEC on 02/19/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/05/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALGODON WINE AND LUXURY DEVELOPMENT GROUP100% STOCKHOLDER
BEALE, JULIAN HOWARDDIRECTOR4100205
FASANO, KEITH TODDPRESIDENT, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR2014683
FERGUSON, SHARICFO/FINOP, TREASURER5596471
LAWRENCE, PETER JESSELDIRECTOR4100105

Disclosures

Regulatory Event4
Arbitration4

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.

Company Information

DPEC CAPITAL, INC.

CRD#: 103737

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