Mark S. Parnass
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 Stephen Parnass was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1970. Mark had worked at 12 firms and has passed the Series 63, Series 55, Series 7, Series 1, Series 24, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2007 - July 2, 2012
W.A. CAPITAL MARKETS
July 17, 2003 - July 3, 2006
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
August 30, 2002 - June 16, 2003
LADENBURG THALMANN & CO. INC.
October 6, 2000 - September 26, 2002
LADENBURG CAPITAL MANAGEMENT INC.
February 6, 1991 - April 6, 1999
NORTH AMERICAN INSTITUTIONAL BROKERS
March 13, 1989 - January 1, 1991
BARRON CHASE SECURITIES, INC.
October 4, 1988 - January 30, 1989
WAKEFIELD FINANCIAL CORPORATION
August 6, 1984 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
December 3, 1980 - June 25, 1984
CROWN FINANCIAL GROUP, INC.
June 3, 1980 - January 3, 1981
THOMSON MCKINNON SECURITIES INC.
November 21, 1972 - May 22, 1974
UBS CAPITAL MARKETS L.P.
December 1, 1970 - October 19, 1972
BARRETT AND COMPANY, 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: 1/25/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 5/20/1964
Registered Representative ExaminationSeries 00
Date: 11/23/1970
General Securities Principal ExaminationCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
