Mark A. Shukovsky
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 Aaron Shukovsky, who also goes by Mark Shukovsky, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2018 - November 1, 2019
XP INVESTMENTS US, LLC
April 23, 2010 - September 24, 2012
ROSENTHAL GLOBAL SECURITIES LLC
February 2, 2010 - February 18, 2010
COWEN AND COMPANY
May 21, 2009 - December 31, 2009
RAMIUS SECURITIES LLC
April 19, 2002 - June 13, 2007
J.P. MORGAN SECURITIES LLC
September 1, 1998 - April 23, 2002
CITIGROUP GLOBAL MARKETS INC.
October 21, 1997 - September 1, 1998
SALOMON BROTHERS 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
Current Firm
XP INVESTMENTS US, LLC
CRD#: 156691 / SEC#: , 8-68817
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| XP HOLDING INTERNATIONAL, LLC | PARENT COMPANY | |
| COSTA, JOSE EDUARDO | CHIEF EXECUTIVE OFFICER | 4983100 |
| GOMEZ, ADELIA MARIEL | CHIEF OPERATING OFFICER/ PRINCIPAL OPERATIONS OFFICER | 5477182 |
| SINGER, STEVEN FREDERIC | PRINCIPAL FINANCIAL OFFICER | 2360737 |
| WILSON, JARED RYAN | CHIEF COMPLIANCE OFFICER/ AML COMPLIANCE OFFICER | 5322068 |
Disclosures
| Regulatory Event | 3 |
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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