Mark S. Crain
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 Steven Jerimiah Crain was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2002. Mark had worked at 1 firm and has passed the Series 63, SIE, Series 99 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2011 - November 23, 2021
COMMONWEALTH CAPITAL SECURITIES CORP.
November 9, 2009 - February 18, 2011
COMMONWEALTH CAPITAL SECURITIES CORP.
July 30, 2002 - February 12, 2009
COMMONWEALTH CAPITAL SECURITIES CORP.
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
COMMONWEALTH CAPITAL SECURITIES CORP.
CRD#: 39979 / SEC#: , 8-48915
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HJA TRUST | OWNER, COMMONWEALTH CAPITAL SECURITIES CORP. | |
| ABBOTT, HENRY JOSEPH | CHAIRMAN, CEO, PRESIDENT, NON-OWNER | 2676347 |
| DOSTER, BRIAN R | DIRECTOR, TRUSTEE OF HJA TRUST, GENERAL COUNSEL, NON-OWNER | 6764205 |
| PRUETT, JAMES TRAVIS | DIRECTOR, SENIOR VICE PRESIDENT, ANTI-MONEY LAUNDERING COMPLIANCE OFFICER, CHIEF COMPLIANCE OFFICER, NON-OWNER | 4849769 |
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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