Mark P. French
Professional summary
Mark Preston French was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Mark had worked at 7 firms, which includes SECURITIES AMERICA INC., INVESTORS SECURITY COMPANY INC., QUEST CAPITAL STRATEGIES INC., KOVACK SECURITIES INC., GUNNALLEN FINANCIAL INC, MPI FINANCIAL, CORNA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2012 - January 15, 2013
SECURITIES AMERICA, INC.
July 6, 2005 - December 7, 2012
INVESTORS SECURITY COMPANY, INC.
April 13, 2005 - July 14, 2005
QUEST CAPITAL STRATEGIES, INC.
October 10, 2003 - April 11, 2005
KOVACK SECURITIES INC.
February 25, 2000 - March 31, 2003
KOVACK SECURITIES INC.
October 8, 1999 - February 24, 2000
GUNNALLEN FINANCIAL, INC
June 11, 1998 - October 14, 1999
MPI FINANCIAL
January 6, 1998 - April 15, 1998
CORNA SECURITIES, 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: 1/5/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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