Mark G. Ross
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 Gerald Ross was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1969. Mark had worked at 11 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 1988 - August 31, 1989
INDIVIDUAL'S SECURITIES LTD.
April 12, 1985 - October 11, 1988
HAMILTON, GRANT & COMPANY, INC.
February 13, 1984 - September 10, 1985
WEAVER JOHNSON & COMPANY,INC.
July 12, 1983 - January 6, 1984
GATTINI & CO.
February 14, 1983 - June 9, 1983
E.C. FARNSWORTH & COMPANY, INC.
November 21, 1979 - February 2, 1983
ROONEY, PACE INC.
April 30, 1976 - February 14, 1978
NEUBERGER SECURITIES CORP.
September 25, 1975 - May 3, 1976
SILVER, GRAY & CO., INC.
April 21, 1972 - July 26, 1972
N R MAISON & CO
February 12, 1971 - February 14, 1972
JOSEPH TEPEDINO
November 13, 1969 - March 8, 1971
DOPLER GRAY & CO 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 1
Date: 3/1/1968
Registered Representative ExaminationCurrent Firm
INDIVIDUAL'S SECURITIES LTD.
CRD#: 7279 / SEC#: , 8-21001
Contact information
Documents
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.
