Mark Mulroney
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 Mulroney, who also goes by Mark R Mulroney, R Mark Mulroney, R Mark Mulroney, Robert Mark Mulroney, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2002. Mark had worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 3, Series 7 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 20, 2023 - August 14, 2025
SCOTIA CAPITAL (USA) INC.
September 26, 2018 - October 8, 2019
SCOTIA CAPITAL (USA) INC.
February 2, 2015 - March 22, 2018
NATIONAL BANK OF CANADA FINANCIAL INC.
May 17, 2012 - February 2, 2015
NBF SECURITIES (USA) CORP.
February 29, 2008 - March 9, 2012
RBC CAPITAL MARKETS, LLC
February 1, 2005 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
January 14, 2002 - December 10, 2004
GOLDMAN SACHS & CO. 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 7TO
Date: 4/11/2024
General Securities Representative ExaminationSeries 79TO
Date: 9/20/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SCOTIA CAPITAL (USA) INC.
CRD#: 2739 / SEC#: , 8-3716
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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