Mark J. Palma
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 Jon Palma 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 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2017 - December 4, 2017
MAINSTREET CAPITAL PARTNERS
October 7, 2016 - September 13, 2017
J.P. MORGAN SECURITIES LLC
June 10, 2008 - September 8, 2016
DEUTSCHE BANK SECURITIES INC.
November 13, 2007 - May 30, 2008
J.P. MORGAN SECURITIES LLC
February 18, 2003 - September 2, 2005
UBS FINANCIAL SERVICES INC.
February 18, 2003 - September 2, 2005
UBS FINANCIAL SERVICES INC.
October 6, 2002 - December 13, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 5, 2002 - December 13, 2002
IDS LIFE INSURANCE COMPANY
September 5, 2002 - December 13, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
MAINSTREET CAPITAL PARTNERS
CRD#: 172660 / SEC#: , 8-69516
Contact information
Documents
Red Flags
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