Mark D. Pinocci
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 David Pinocci, who also goes by Mark D Pinocci, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2018 - October 5, 2022
TRANSAMERICA CAPITAL, LLC
June 8, 2016 - October 30, 2017
CITIZENS SECURITIES, INC.
July 16, 2012 - May 19, 2016
SANTANDER SECURITIES LLC
February 1, 2010 - September 1, 2010
FAIRHOLME DISTRIBUTORS, LLC
November 11, 2008 - January 2, 2009
NORTHERN FUNDS DISTRIBUTORS, LLC
November 3, 2008 - December 5, 2008
BLACKROCK DISTRIBUTORS, INC
November 3, 2008 - September 1, 2010
MGI FUNDS DISTRIBUTORS, LLC
November 3, 2008 - September 1, 2010
FORESIDE GLOBAL SERVICES, LLC
November 3, 2008 - September 1, 2010
FORESIDE FUNDS DISTRIBUTORS LLC
November 3, 2008 - September 1, 2010
STERLING CAPITAL DISTRIBUTORS, LLC
August 3, 2004 - November 16, 2006
BOSTON CAPITAL SECURITIES, INC.
March 14, 2002 - March 3, 2004
VERAVEST INVESTMENTS, INC.
July 28, 2000 - February 25, 2002
COMMONWEALTH FINANCIAL NETWORK
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
Current Firm
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CARNEY, ROBERT DONALD | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 6747924 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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