Mark D. Silverman
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 David Silverman was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1972. Mark had worked at 13 firms and has passed the Series 63, SIE, PC, 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
September 14, 2016 - October 21, 2016
PAULSON INVESTMENT COMPANY LLC
June 10, 2015 - September 14, 2016
AVATAR SECURITIES, LLC
January 11, 2013 - April 29, 2015
AVATAR SECURITIES, LLC
April 24, 2012 - January 14, 2013
AURORA CAPITAL LLC
June 10, 2010 - September 19, 2011
BURRILL SECURITIES
May 3, 2007 - June 7, 2010
SUMMER STREET RESEARCH PARTNERS
January 5, 2006 - April 24, 2007
CARIS & COMPANY, INC.
April 18, 2005 - December 15, 2005
MERRIMAN CAPITAL, INC.
October 17, 2001 - April 8, 2005
PACIFIC GROWTH EQUITIES, LLC
October 1, 1997 - October 5, 2001
BANC OF AMERICA SECURITIES LLC
July 14, 1992 - October 1, 1997
MONTGOMERY SECURITIES
February 1, 1988 - May 21, 1992
CIBC WORLD MARKETS CORP.
September 17, 1975 - February 5, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
December 1, 1972 - October 12, 1975
EDWARDS & HANLY
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 11/20/1972
Registered Representative ExaminationCurrent Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 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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