Mark J. Guadagnini
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 John Guadagnini was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 9 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
November 22, 2011 - November 12, 2021
FORWARD SECURITIES, LLC
September 9, 2005 - December 15, 2020
ALPS DISTRIBUTORS, INC.
September 22, 2003 - September 9, 2005
FORESIDE FUNDS DISTRIBUTORS LLC
November 1, 2000 - February 21, 2003
MORGAN STANLEY DW INC.
September 4, 1996 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
October 30, 1995 - September 10, 1996
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FORWARD SECURITIES, LLC
CRD#: 150133 / SEC#: , 8-68216
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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