Mark A. Garfinkel
Professional summary
Mark A Garfinkel, who also goes by Mark A Garfinkel, Mark Andrew Garfinkel, is a registered financial professional currently at TRADEWEB DIRECT LLC located in New York, New York and DEALERWEB LLC located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2003. Mark has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark A Garfinkel's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 9, 2024 - Present
TRADEWEB DIRECT LLC
Office #1: 245 Park Avenue Floor 30, New York, NY 10167January 9, 2024 - Present
DEALERWEB LLC
Office #1: 245 Park Avenue, New York, NY 10167January 9, 2024 - November 13, 2024
TRADEWEB LLC
June 30, 2023 - January 9, 2024
TP ICAP GLOBAL MARKETS AMERICAS LLC
January 5, 2015 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
October 29, 2013 - January 5, 2015
W.A. CAPITAL MARKETS
June 19, 2009 - June 4, 2013
ICE BONDS SECURITIES CORPORATION
July 15, 2008 - November 26, 2008
MINT BROKERS
July 8, 2008 - June 8, 2009
BGC FINANCIAL, L.P.
April 27, 2004 - August 29, 2007
UBS SECURITIES LLC
December 16, 2003 - April 27, 2004
UBS FINANCIAL SERVICES 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
(1/9/2024)
Exams
FINRA
Current Firm
DEALERWEB LLC
CRD#: 19662 / SEC#: , 8-38103
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEWEB IDB MARKETS, INC. | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| COTTER, RICHARD JOSEPH JR | PRINCIPAL FINANCIAL OFFICER | 1611037 |
| GALINDO, JORGE ALBERTO JR | PRINCIPAL OPERATIONS OFFICER | 2501261 |
| HUESTIS, TIMOTHY DANIEL | EXECUTIVE REPRESENTATIVE | 4931620 |
| MCKEON, ALFRED PETER | PRESIDENT | 1666355 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| SULLIVAN, MICHAEL FRANCIS | CHIEF COMPLIANCE OFFICER | 3254037 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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