Mark A. Bavaro

ACADEMY SECURITIES

New York, NY 10017

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CRD#: 4623094

Professional summary

Mark Anthony Bavaro is a registered financial professional currently at ACADEMY SECURITIES, INC. located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2003. Mark has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Anthony Bavaro's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 12, 2025 - Present

ACADEMY SECURITIES, INC.

Office #1: 622 3rd Avenue 12th Floor, New York, NY 10017

CRD#: 17433

New York, NY

Past

August 6, 2018 - February 10, 2025

ACADEMY SECURITIES, INC.

CRD#: 17433

NEW YORK, NY

Past

August 15, 2016 - July 31, 2018

MORGAN STANLEY

RIA

CRD#: 149777

MIDDLETON, MA

Past

August 8, 2016 - July 31, 2018

MORGAN STANLEY

CRD#: 149777

MIDDLETON, MA

Past

May 24, 2012 - August 9, 2016

ACADEMY SECURITIES, INC.

CRD#: 17433

New York, NY

Past

September 22, 2009 - May 24, 2012

TFS DERIVATIVES LLC

CRD#: 30395

NEW YORK, NY

Past

May 23, 2008 - July 13, 2009

LIGHTHOUSE FINANCIAL GROUP, LLC

CRD#: 103734

NEW YORK, NY

Past

January 31, 2003 - May 25, 2006

GGET, LLC.

CRD#: 107899

GREENWICH, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(2/12/2025)

New York
(2/12/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/13/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/8/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/28/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ACADEMY SECURITIES, INC.

ACADEMY ASSET MANAGEMENT | STERLING INVESTMENT SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | ACADEMY SECURITIES, INC.

CRD#: 17433 / SEC#: , 8-35173

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

622 3rd Avenue 12th Floor, New York, NY 10017

Mailing Address

622 3rd Avenue 12th Floor, New York, NY 10017

Phone number

(646) 736-3995

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MIMS, RONALD CHANCE	CHAIRMAN, CEO	5637540
GRAHAM, ANTHONY R	FINOP	4959159
GRAHAM, ANTHONY R	PRINCIPAL OPERATIONS OFFICER	4959159
GRAHAM, ANTHONY R	PRINCIPAL FINANCIAL OFFICER	4959159
GRAHAM, ANTHONY R	COO	4959159
MCCONKEY, PHILIP JOSEPH	VICE CHAIRMAN	3253139
WILCOX, SPENCER HAMILTON	PRESIDENT	5802885
BOYD, MICHAEL BARTOW	CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER	2557814

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mark A. Bavaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Anthony Bavaro's CRS (Customer Relationship Summary).

Certified licenses

Experience

ACADEMY SECURITIES, INC.

MORGAN STANLEY

MORGAN STANLEY

ACADEMY SECURITIES, INC.

TFS DERIVATIVES LLC

LIGHTHOUSE FINANCIAL GROUP, LLC

GGET, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/2016

Series 63

Date: 5/8/2003

SIE

Date: 10/1/2018

Series 7

Date: 1/28/2003

FINRA

Current Firm

ACADEMY SECURITIES, INC.

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ACADEMY SECURITIES, INC.

TRUST BUT VERIFY

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