Mark L. Baratta
Professional summary
Mark Lapenna Baratta is a registered financial professional currently at BTIG, LLC located in Highland Beach, Florida.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 32, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Lapenna Baratta's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 3, 2003 - Present
BTIG, LLC
June 27, 2003 - October 30, 2003
JONESTRADING
October 17, 2001 - July 2, 2003
GOLDMAN SACHS & CO. LLC
November 23, 1999 - July 2, 2003
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/3/2003)
(10/29/2004)
(3/17/2021)
(11/3/2003)
(1/16/2004)
(11/3/2003)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/9/1999
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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