Mark J. Curtis
Professional summary
Mark James Curtis is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2000. Mark has worked at 6 firms and has passed the Series 63, Series 3, SIE, Series 7, Series 17, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark James Curtis's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2023 - Present
BA SECURITIES, LLC
Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428February 14, 2018 - October 7, 2020
MARINER GROUP CAPITAL MARKETS, LLC
November 27, 2015 - September 6, 2017
FORESIDE FUND SERVICES, LLC
August 4, 2004 - August 18, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2004 - August 18, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 2003 - March 12, 2004
CIBC WORLD MARKETS CORP.
October 13, 2000 - January 15, 2003
ABN AMRO INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/9/2023)
(2/21/2023)
Exams
Series 17
Date: 10/12/2000
Limited Registered Representative ExaminationFINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
