Mark K. Dubose
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 Kevin Dubose, who also goes by Mark K Dubose, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2004. Mark had worked at 6 firms and has passed the Series 66, Series 63, 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 17, 2019 - December 22, 2021
SI SECURITIES, LLC
August 21, 2014 - March 28, 2018
SANTANDER SECURITIES LLC
August 13, 2014 - March 28, 2018
SANTANDER SECURITIES LLC
November 11, 2010 - January 14, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2010 - January 14, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 2009 - May 21, 2010
SECURITIES NETWORK LLC
April 20, 2009 - May 21, 2010
SECURITIES NETWORK LLC
January 4, 2008 - November 12, 2008
FIRST CITIZENS CAPITAL SECURITIES, LLC
October 7, 2004 - December 31, 2007
EVP SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
SI SECURITIES, LLC
CRD#: 170937 / SEC#: , 8-69440
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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