Mark W. Gross
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 William Gross was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2005. Mark had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2022 - December 8, 2025
BENTLEY SECURITIES CORPORATION
December 13, 2018 - June 7, 2022
WESTWOOD CAPITAL, LLC
January 5, 2015 - July 1, 2020
DOMINICK & DICKERMAN LLC
April 29, 2010 - December 22, 2014
KNOX SECURITIES CORP.
July 23, 2008 - January 5, 2010
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
July 1, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 1, 2005 - July 13, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BENTLEY SECURITIES CORPORATION
CRD#: 25759 / SEC#: , 8-41879
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROMWELL, OLIVER DEAN | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 838160 |
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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