Mark W. Holloway
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 Wilbert Holloway was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 9 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2009 - June 18, 2013
REDI GLOBAL TECHNOLOGIES LLC
August 14, 2003 - November 11, 2008
REDI GLOBAL TECHNOLOGIES LLC
August 14, 2003 - November 11, 2008
SLK INDEX SPECIALISTS, LLC
July 24, 2003 - June 18, 2013
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
December 19, 2000 - January 7, 2002
BONDBOOK, LLC
June 14, 2000 - January 3, 2001
MUNIGROUP.COM, LLC
April 28, 1999 - August 11, 2003
GOLDMAN SACHS ONLINE LLC
March 5, 1996 - October 1, 1996
GSMM CORP.
March 5, 1996 - October 1, 1996
GOLDMAN SACHS MONEY MARKETS, L.P.
March 5, 1996 - June 18, 2013
GOLDMAN SACHS & CO. 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
REDI GLOBAL TECHNOLOGIES LLC
CRD#: 41924 / SEC#: , 8-49673
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REFINITIV US LLC | OWNER | |
| BALTOVSKI, ALEXANDER NMN | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 2350828 |
| CUTLER, SETH | DIRECTOR | 2594208 |
| IAMSCICOV WEIGL, KATARINA | CHIEF COMPLIANCE OFFICER AND SECRETARY | 7893210 |
| MALONEY, MICHAEL G | DIRECTOR, CEO, MANAGING PRINCIPAL | 5728423 |
| SIBLEY, JOHN HOLDEN | DIRECTOR | 5781488 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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