Mark A. Bourgeois
Professional summary
Mark Alan Bourgeois 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 1999. Prior to being barred, Mark had worked at 10 firms, which includes PALLADIUM CAPITAL GROUP LLC, BLUE SAND SECURITIES LLC, ATLANTIC - PACIFIC CAPITAL INC., CREDIT SUISSE SECURITIES (USA) LLC, BARCLAYS CAPITAL INC., NEUBERGER BERMAN BD LLC, LEHMAN BROTHERS INC., UBS SECURITIES LLC, UBS FINANCIAL SERVICES INC., J.C. BRADFORD & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2020 - September 20, 2021
PALLADIUM CAPITAL GROUP, LLC
November 7, 2016 - July 31, 2018
BLUE SAND SECURITIES LLC
August 27, 2012 - November 3, 2016
ATLANTIC - PACIFIC CAPITAL, INC.
September 29, 2008 - July 23, 2012
CREDIT SUISSE SECURITIES (USA) LLC
September 22, 2008 - October 8, 2008
BARCLAYS CAPITAL INC.
July 23, 2008 - September 30, 2008
NEUBERGER BERMAN BD LLC
May 16, 2008 - September 22, 2008
LEHMAN BROTHERS INC.
November 3, 2000 - May 21, 2008
UBS SECURITIES LLC
August 14, 2000 - November 3, 2000
UBS FINANCIAL SERVICES INC.
November 5, 1999 - August 14, 2000
J.C. BRADFORD & CO.
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
Current Firm
PALLADIUM CAPITAL GROUP, LLC
CRD#: 129400 / SEC#: , 8-66223
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KURLAND, AKIVA JOSEPH | MEMBER | 5366252 |
| LAZARUS, MARILYN NMI | MEMBER | 5447746 |
| LAZARUS, NORMAN MICHAEL | MEMBER | 7172324 |
| PADOWITZ, JOEL EUGEN | MEMBER | 4725316 |
| MOCH, TAMARA ROSALIE | MEMBER | 7172315 |
| BUCKLEY, ANNE PAUL | CHIEF COMPLIANCE OFFICER | 1781079 |
| MEDREZ, NATAN | PARTIAL OWNER | 4792730 |
| PALLADIUM HOLDINGS, LLC | PARTIAL OWNER | |
| ROOZ, EFRAIM | PARTIAL OWNER | 5823833 |
| SLOVIN, MARK ADAM | CHIEF FINANCIAL OFFICER AND FINOP | 6786999 |
| WEINBERG, ILAN JOSHUA | PARTIAL OWNER | 2354293 |
Disclosures
| Regulatory Event | 1 |
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