Mark L. Gussin
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 Lawrence Gussin, who also goes by Mark L Gussin, Mark Lanpoll Gussin, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 7 firms and has passed the Series 63, Series 55 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
July 26, 2001 - November 9, 2001
J.P.R. CAPITAL CORP.
November 6, 1998 - August 21, 2001
ELECTRONIC TRADING GROUP, LLC
August 24, 1998 - December 8, 1998
LADENBURG CAPITAL MANAGEMENT INC.
January 20, 1998 - August 27, 1998
FIRST ASSET MANAGEMENT, INC.
September 15, 1997 - January 30, 1998
LADENBURG THALMANN & CO. INC.
January 10, 1997 - September 15, 1997
RICKEL & ASSOCIATES, INC.
September 23, 1996 - December 18, 1996
STRATTON OAKMONT 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 55
Date: 4/13/1999
Limited Representative-Equity Trader ExamCurrent Firm
J.P.R. CAPITAL CORP.
CRD#: 38056 / SEC#: , 8-48061
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
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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