Mark C. Simpson
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 Christian William Simpson, who also goes by Mark Christian Simpson, Mark Christian William Simpson, Mark Christianwilliam Simpson, Mark Cw Simpson, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 4 firms and has passed the Series 63, Series 56, Series 3 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
June 13, 2013 - September 26, 2013
WTS PROPRIETARY TRADING GROUP LLC
January 3, 2013 - March 11, 2013
T3 TRADING GROUP, LLC
September 24, 1997 - April 20, 2001
MUFG SECURITIES AMERICAS INC.
July 27, 1994 - October 26, 1995
BARCLAYS CAPITAL 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 56
Date: 1/2/2013
Proprietary Trader Qualification ExaminationCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
