MM
Mark W. Mcgoldrick
JONESTRADING
Daniel Island, SC 29492
Some features on this profile are disabled
CRD#: 3073805
MM
Professional summary
Mark William Mcgoldrick, who also goes by Mark Mcgoldrick, is a registered financial professional currently at JONESTRADING located in Daniel Island, South Carolina.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark Mcgoldrick
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Mark William Mcgoldrick's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 28, 2022 - Present
JONESTRADING
Office #1: 880 Island Park Drive 3rd Floor, Daniel Island, SC 29492BD
CRD#: 6888
Daniel Island, SC
Past
August 25, 2021 - April 26, 2022
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
August 5, 2011 - February 10, 2022
COWEN PRIME SERVICES LLC
BD
CRD#: 153397
NEW YORK, NY
Past
December 9, 2010 - January 5, 2011
SRT SECURITIES LLC
BD
CRD#: 33725
BIRMINGHAM, MI
Past
August 29, 2006 - April 4, 2012
ALARIS TRADING PARTNERS, LLC
BD
CRD#: 126996
JERSEY CITY, NJ
Past
December 5, 2003 - August 18, 2005
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
November 19, 2002 - December 5, 2003
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
July 8, 2002 - November 7, 2002
UNX LLC
BD
CRD#: 46145
BURBANK, CA
Past
July 2, 2001 - June 21, 2002
PCS SECURITIES, INC.
BD
CRD#: 47588
NEW YORK, NY
Past
October 20, 1998 - June 15, 2001
CAPSTONE INVESTMENTS
BD
CRD#: 41400
SAN DIEGO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/4/2023)
RR
Alaska(5/4/2023)
RR
Arizona(6/28/2022)
RR
Arkansas(5/4/2023)
RR
California(6/28/2022)
RR
Colorado(6/28/2022)
RR
Connecticut(6/28/2022)
RR
Delaware(6/28/2022)
RR
District of Columbia(6/28/2022)
RR
Florida(6/28/2022)
RR
Georgia(6/28/2022)
RR
Hawaii(5/4/2023)
RR
Idaho(5/4/2023)
RR
Illinois(6/28/2022)
RR
Indiana(5/4/2023)
RR
Iowa(5/4/2023)
RR
Kansas(5/4/2023)
RR
Kentucky(5/4/2023)
RR
Louisiana(6/28/2022)
RR
Maine(6/28/2022)
RR
Maryland(5/4/2023)
RR
Massachusetts(6/28/2022)
RR
Michigan(6/28/2022)
RR
Minnesota(6/28/2022)
RR
Mississippi(5/4/2023)
RR
Missouri(5/4/2023)
RR
Montana(5/4/2023)
RR
Nebraska(5/4/2023)
RR
Nevada(6/28/2022)
RR
New Hampshire(6/28/2022)
RR
New Jersey(6/28/2022)
RR
New Mexico(5/4/2023)
RR
New York(6/28/2022)
RR
North Carolina(6/28/2022)
RR
North Dakota(5/4/2023)
RR
Ohio(6/28/2022)
RR
Oklahoma(5/4/2023)
RR
Oregon(5/4/2023)
RR
Pennsylvania(6/28/2022)
RR
Rhode Island(6/28/2022)
RR
South Carolina(6/28/2022)
RR
South Dakota(5/4/2023)
RR
Tennessee(5/4/2023)
RR
Texas(6/28/2022)
RR
Utah(5/4/2023)
RR
Vermont(5/4/2023)
RR
Virginia(6/28/2022)
RR
Washington(5/4/2023)
RR
West Virginia(5/4/2023)
RR
Wisconsin(6/28/2022)
RR
Wyoming(5/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JO
JONESTRADING
JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.
CRD#: 6888 / SEC#: , 8-26089
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360
Mailing Address
555 Saint Charles Drive, Thousand Oaks, CA 91360
Phone number
(818) 991-5500
Established
Delaware since 08/15/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
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.
