Mark S. Gutentag
Professional summary
Mark Steven Gutentag was barred by the FINRA 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 2000. Prior to being barred, Mark had worked at 4 firms, which includes CHELSEA FINANCIAL SERVICES, MORGAN PEABODY INC., KESTRA INVESTMENT SERVICES LLC, WMA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2008 - January 27, 2009
CHELSEA FINANCIAL SERVICES
August 9, 2004 - April 14, 2008
MORGAN PEABODY, INC.
January 2, 2001 - August 20, 2004
KESTRA INVESTMENT SERVICES, LLC
January 18, 2000 - January 22, 2001
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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