MB
Mark F. Blaha
JOSEPH GUNNAR & CO. LLC
UNIONDALE, NY 11556
Some features on this profile are disabled
CRD#: 3083981
MB
Professional summary
Mark Francis Blaha is a registered financial professional currently at JOSEPH GUNNAR & CO. LLC located in Uniondale, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Francis Blaha'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
March 31, 2022 - Present
JOSEPH GUNNAR & CO. LLC
Office #1: 1000 Rxr Plaza, Uniondale, NY 11556RIA
BD
CRD#: 24795
UNIONDALE, NY
Past
March 8, 2013 - April 25, 2022
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
MELVILLE, NY
Past
May 18, 2012 - April 18, 2013
ROCKWELL GLOBAL CAPITAL LLC
BD
CRD#: 142485
MELVILLE, NY
Past
August 23, 2004 - June 20, 2012
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
MELVILLE, NY
Past
April 2, 2002 - August 23, 2004
SANDS BROTHERS & CO., LTD.
BD
CRD#: 26816
NEW YORK, NY
Past
December 22, 2000 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
April 7, 2000 - December 21, 2000
W.A. CAPITAL MARKETS
BD
CRD#: 6292
NEW YORK, NY
Past
January 4, 2000 - April 25, 2000
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
November 3, 1999 - December 14, 1999
AMERICAN INVESTMENT SERVICES, INC.
BD
CRD#: 21111
OKLAHOMA CITY, OK
Past
February 24, 1999 - October 21, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 13, 1998 - January 8, 1999
AMERICAN INVESTMENT SERVICES, INC.
BD
CRD#: 21111
OKLAHOMA CITY, OK
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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
Arizona(3/31/2022)
RR
California(3/31/2022)
RR
Colorado(9/10/2024)
RR
Connecticut(4/25/2022)
RR
Florida(3/31/2022)
RR
Georgia(4/28/2022)
RR
Louisiana(4/29/2025)
RR
Maryland(3/31/2022)
RR
Massachusetts(4/1/2022)
RR
Michigan(3/31/2022)
RR
Minnesota(4/27/2022)
RR
New Jersey(3/31/2022)
RR
New York(3/31/2022)
RR
North Carolina(4/27/2022)
RR
Ohio(3/31/2022)
RR
Pennsylvania(3/31/2022)
RR
South Carolina(3/31/2022)
RR
Texas(3/31/2022)
RR
Utah(3/31/2022)
RR
Virginia(4/16/2022)
RR
Washington(3/31/2022)
RR
Wyoming(10/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information
Main Address
1000 Rxr Plaza 10th Floor, Uniondale, NY 11556
Mailing Address
1000 Rxr Plaza, Uniondale, NY 11556
Phone number
(212) 440-9600
Established
Delaware since 08/07/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 33,967,899 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 13 |
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.
