Mark D. Kaufman
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 Kaufman was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2001. Mark had worked at 10 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2009 - February 9, 2010
JESUP & LAMONT SECURITIES CORP
January 13, 2009 - August 20, 2009
AURA FINANCIAL SERVICES, INC.
October 1, 2007 - December 26, 2008
VFINANCE INVESTMENTS, INC
February 12, 2007 - October 4, 2007
NEWBRIDGE SECURITIES CORPORATION
December 1, 2004 - January 11, 2007
BROAD STREET SECURITIES, INC.
June 16, 2004 - November 11, 2004
GUNNALLEN FINANCIAL, INC
January 15, 2004 - May 5, 2004
LLOYD, SCOTT & VALENTI, LTD.
January 14, 2003 - February 19, 2003
AURA FINANCIAL SERVICES, INC.
August 23, 2002 - January 14, 2003
SALOMON GREY FINANCIAL CORPORATION
December 5, 2001 - April 5, 2002
SALOMON GREY FINANCIAL CORPORATION
September 3, 2001 - January 3, 2002
BERRY-SHINO SECURITIES, INC.
May 4, 2001 - July 26, 2001
LH ROSS & COMPANY, INC.
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
Series 62
Date: 3/29/2001
Corporate Securities Limited Representative ExaminationCurrent Firm
JESUP & LAMONT SECURITIES CORP
CRD#: 39056 / SEC#: , 8-48893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | OWNER | |
| HOLUB, WILLIAM C | FINOP, CFO, COO, CCO | 2680290 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
