Mark J. Verlangieri
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 James Verlangieri, who also goes by Mark James Verlangieri, Mark Verlangieri, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2001. Mark had worked at 9 firms and has passed the Series 66, Series 63, SIE 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
November 26, 2018 - September 20, 2019
PAULSON INVESTMENT COMPANY LLC
January 6, 2016 - April 13, 2017
USAA FINANCIAL PLANNING SERVICES
December 28, 2015 - April 13, 2017
USAA FINANCIAL ADVISORS, INC.
September 10, 2012 - October 19, 2015
EDWARD JONES
August 27, 2012 - October 19, 2015
EDWARD JONES
April 12, 2011 - July 17, 2012
COWEN EXECUTION SERVICES LLC
July 11, 2008 - March 10, 2009
CREDIT AGRICOLE SECURITIES (USA) INC.
October 23, 2006 - July 2, 2008
THOMAS WEISEL PARTNERS LLC
March 6, 2006 - September 27, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2001 - July 7, 2006
WAVE SECURITIES, LLC
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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
