Mark A. Lichtman
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 Alfred Lichtman was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1969. Mark had worked at 17 firms and has passed the Series 63, Series 55, Series 1, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - June 30, 2014
C. L. KING & ASSOCIATES, INC.
February 1, 2013 - November 1, 2013
CROSS POINT CAPITAL LLC
February 4, 2009 - February 4, 2013
BUCKMAN, BUCKMAN & REID, INC.
October 8, 2007 - February 10, 2009
CANTOR FITZGERALD & CO.
May 13, 2003 - October 9, 2007
SCOTT & STRINGFELLOW, LLC
April 26, 1999 - May 30, 2003
RAYMOND JAMES & ASSOCIATES, INC.
June 12, 1989 - April 16, 1999
NATIVE NATIONS SECURITIES, INC.
March 27, 1989 - May 22, 1989
GALT SECURITIES, INC.
July 12, 1988 - March 13, 1989
PRINTON, KANE GOVERNMENT SECURITIES, INC.
February 16, 1988 - July 18, 1988
PRINTON, KANE GOVERNMENT SECURITIES, L.P.
February 16, 1988 - March 13, 1989
PRINTON KANE & CO., L.P.
August 6, 1986 - October 20, 1987
DAIWA CAPITAL MARKETS AMERICA INC.
October 25, 1983 - August 26, 1986
MOSELEY SECURITIES CORPORATION
June 11, 1981 - August 31, 1983
BURNS FRY INC
May 16, 1975 - May 8, 1981
LADENBURG THALMANN & CO. INC.
July 11, 1973 - October 30, 1975
HIBBARD & O'CONNOR SECURITIES, INC.
February 17, 1969 - April 2, 1973
EQUITY SERVICES, 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: 4/17/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 9/23/1966
Registered Representative ExaminationCurrent Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 1 |
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.
