Mark L. Lippman
Professional summary
Mark Lewis Lippman 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 1970. Prior to being barred, Mark had worked at 23 firms, which includes DAWSON JAMES SECURITIES INC., CAPITAL GROWTH FINANCIAL LLC, DALTON KENT SECURITIES GROUP INC., LADENBURG THALMANN & CO. INC., AMERICAN INVESTMENT SERVICES INC., DONALD & CO. SECURITIES INC., FFP SECURITIES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, RAYMOND JAMES & ASSOCIATES INC., BISCAYNE SECURITIES CORPORATION, PRUDENTIAL EQUITY GROUP LLC, ALLIED SECURITIES CORPORATION, TOWER SQUARE SECURITIES INC., LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC., CIBC WORLD MARKETS CORP., THOMSON MCKINNON SECURITIES INC., DREXEL BURNHAM LAMBERT INCORPORATED, FAULKNER DAWKINS & SULLIVAN INC., THE ROBINSON-HUMPHREY COMPANY LLC, FIRST FLORIDA SECURITIES INC., GINBERG & COMPANY, FERRUGGIA & LIPPMAN & COYLE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2007 - June 12, 2014
DAWSON JAMES SECURITIES, INC.
July 6, 2001 - April 27, 2007
CAPITAL GROWTH FINANCIAL, LLC
April 20, 2001 - July 6, 2001
DALTON KENT SECURITIES GROUP, INC.
July 11, 2000 - May 3, 2001
LADENBURG THALMANN & CO. INC.
April 8, 1997 - July 5, 2000
AMERICAN INVESTMENT SERVICES, INC.
April 2, 1996 - April 15, 1997
DONALD & CO. SECURITIES INC.
August 16, 1990 - March 27, 1996
FFP SECURITIES, INC.
April 18, 1989 - July 27, 1990
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 15, 1988 - April 11, 1989
RAYMOND JAMES & ASSOCIATES, INC.
July 11, 1986 - February 17, 1988
BISCAYNE SECURITIES CORPORATION
January 5, 1984 - July 1, 1986
PRUDENTIAL EQUITY GROUP, LLC
September 13, 1983 - December 20, 1983
ALLIED SECURITIES CORPORATION
August 5, 1983 - November 22, 1983
TOWER SQUARE SECURITIES, INC.
December 7, 1981 - June 27, 1983
LEHMAN BROTHERS INC.
May 5, 1981 - November 6, 1981
UBS FINANCIAL SERVICES INC.
June 3, 1980 - May 20, 1981
PRUDENTIAL EQUITY GROUP, LLC
May 9, 1979 - May 25, 1980
CIBC WORLD MARKETS CORP.
March 23, 1978 - May 24, 1979
THOMSON MCKINNON SECURITIES INC.
April 22, 1977 - April 18, 1978
DREXEL BURNHAM LAMBERT INCORPORATED
January 14, 1977 - May 8, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
July 19, 1976 - November 27, 1976
THE ROBINSON-HUMPHREY COMPANY, LLC
October 28, 1975 - August 15, 1976
FIRST FLORIDA SECURITIES, INC.
November 1, 1974 - August 31, 1975
TOWER SQUARE SECURITIES, INC.
April 24, 1973 - September 3, 1973
GINBERG & COMPANY
August 5, 1970 - March 1, 1974
FERRUGGIA & LIPPMAN & COYLE, 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
PC
Date: 4/1/1980
AMEX Put and Call ExamCurrent Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
