Mark C. Chang
Professional summary
Mark Christopher Chang was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Mark had worked at 7 firms, which includes INVESTACORP INC., PREFERRED SECURITIES GROUP INC., PARAGON CAPITAL MARKETS INC., RICKEL & ASSOCIATES INC., JOSEPH CHARLES & ASSOC. INC., JWGENESIS SECURITIES INC., GKN SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 1998 - July 8, 1999
INVESTACORP, INC.
June 30, 1997 - October 8, 1997
PREFERRED SECURITIES GROUP, INC.
April 17, 1997 - July 1, 1997
PARAGON CAPITAL MARKETS, INC.
September 25, 1996 - April 9, 1997
RICKEL & ASSOCIATES, INC.
April 15, 1996 - October 17, 1996
JOSEPH CHARLES & ASSOC., INC.
March 5, 1996 - April 4, 1996
JWGENESIS SECURITIES, INC.
December 5, 1995 - February 2, 1996
JOSEPH CHARLES & ASSOC., INC.
August 10, 1995 - December 13, 1995
GKN SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
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