Mark A. Lisser
Professional summary
Mark Alan Lisser was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Mark had worked at 6 firms, which includes GARDEN STATE SECURITIES INC., GLOBAL ARENA CAPITAL CORP, PRESTIGE FINANCIAL CENTER INC., WESTROCK ADVISORS INC., GUNNALLEN FINANCIAL INC, HARRISON SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2014 - April 21, 2016
GARDEN STATE SECURITIES, INC.
November 3, 2010 - December 10, 2014
GLOBAL ARENA CAPITAL CORP
February 4, 2008 - November 2, 2010
PRESTIGE FINANCIAL CENTER, INC.
January 18, 2006 - February 4, 2008
WESTROCK ADVISORS, INC.
January 12, 2004 - December 31, 2005
GUNNALLEN FINANCIAL, INC
November 28, 2001 - December 10, 2003
HARRISON SECURITIES, 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
Exams
Current Firm
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBROSINO, RAYMOND EDWARD | DIRECTOR/SHAREHOLDER | 2070784 |
| DEROSA, KEVIN JOHN | DIRECTOR/SHAREHOLDER | 2314895 |
| PERROTTO, LOUIS LUCKY JR | DIRECTOR/SHAREHOLDER/CHIEF EXECUTIVE OFFICER | 3053498 |
| SARI, SCOTT HENRY | DIRECTOR/SHAREHOLDER | 2226426 |
| MALONE, PATRICK ANTHONY | CHIEF SUPERVISORY OFFICER | 2143703 |
| MCMULLIN, ROBERT | CHIEF FINANCIAL OFFICER | 1540045 |
| TRIGILI, STEVEN DAVID | CHIEF COMPLIANCE OFFICER | 2232496 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 3 |
Red Flags
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