Mark R. Berube
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 Robert Berube was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2018 - April 27, 2020
NATIONAL SECURITIES CORPORATION
April 26, 2017 - January 23, 2018
DREXEL HAMILTON, LLC
February 13, 2013 - December 31, 2014
GL INVESTMENT SERVICES, LLC
March 19, 2007 - May 3, 2012
WEEDEN & CO.L.P.
March 20, 2006 - March 9, 2007
THINKEQUITY LLC
December 2, 2002 - January 13, 2006
LEERINK PARTNERS LLC
May 26, 2000 - November 7, 2002
J.P. MORGAN SECURITIES 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
Series 55
Date: 9/12/2003
Limited Representative-Equity Trader ExamCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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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