Mark B. Gonzalez
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 Brandon Gonzalez was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1999. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
March 10, 2014 - November 24, 2014
NEWEDGE USA, LLC
August 9, 2013 - March 14, 2014
PERSHING LLC
August 21, 2007 - June 11, 2010
CAPSTONE GLOBAL MARKETS, LLC
July 26, 2004 - October 1, 2009
CAPSTONE TRADING L.L.C.
January 5, 2000 - July 11, 2000
RUMSON CAPITAL, LLC
November 5, 1999 - July 14, 2004
VIRTU FINANCIAL CAPITAL MARKETS LLC
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
NEWEDGE USA, LLC
CRD#: 36118 / SEC#: , 8-47023
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE GROUP | 100% OWNER OF NEWEDGE USA, LLC - CLASS A AND CLASS C MEMBER | |
| BABULE, ANTOINE JULIEN | CEO | 5778863 |
| BOND, ROBERT | HEAD OF FFOE & FI NEW YORK | 4121948 |
| COHEN, ADAM MICHAEL | HEAD OF US INSTITUTIONAL SALES PCS | 2560856 |
| CULLEN, EDWARD PATRICK | CHIEF FINANCIAL OFFICER AMERICAS/FINOP | 1551615 |
| DAVY, STEPHEN P | HEAD OF IT | 5644503 |
| EICKBUSH, GREGORY FRANCIS | HEAD OF OPERATIONS, AMERCIAS | 2533204 |
| GAUGHAN, SUSAN KATHLEEN | REGISTERED OPTIONS PRINCIPAL AND BRANCH MANAGER CHICAGO | 2530985 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| LOPRESTI, JOHN | HEAD OF SECURITIES OPERATIONS AMERICAS | 1999981 |
| MURPHY, ANGELIQUE REGINA | GLOBAL CHIEF OPERATING OFFICER ACTING AMERICAS HEAD OF FFOE & FI | 2355417 |
| PIETANZA, ELIZABETH CATHERINE | BRANCH MANAGER, NEW YORK | 2192911 |
| RICHTER, DAVID JAMES | HEAD OF US HIGH FREQUENCY SALES PCS | 1853383 |
| SARGENT, JEFFREY JOSEPH | HEAD OF SECURITIES COMPLIANCE AMERICAS | 2648637 |
Disclosures
| Regulatory Event | 60 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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