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Mark W. Guthner

Some features on this profile are disabled
CRD#: 4926449
MG

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 W Guthner was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 2005. Mark had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 18, 2013 - December 2, 2014

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
NEW YORK, NY
Past

August 21, 2012 - May 10, 2013

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
NEW YORK, NY
Past

April 14, 2005 - May 19, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/11/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/2/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/2012
General Securities Representative Examination

Current Firm

DF
DASH FINANCIAL TECHNOLOGIES LLC
DASH FINANCIAL LLC | ELECTRONIC BROKERAGE SYSTEMS, LLC | ELECTRONIC BROKERAGE SYSTEMS, INC. | DASH FINANCIAL TECHNOLOGIES LLC

CRD#: 104031 / SEC#: , 8-52503

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 S.wacker Drive Suite 2450, Chicago, IL 60606
Mailing Address
200 S.wacker Drive Suite 2450, Chicago, IL 60606
Phone number
(312) 986-2006
Established
Delaware since 12/18/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DFT INTERMEDIATE LLCMEMBER
BUTLER, JACLYN LEIGHCHIEF COMPLIANCE OFFICER4175577
LONGOBARDI, JEREMYFINOP6694598
MILITO, STINO MARIOPRESIDENT4072644
MILLER, TIMOTHY PATRICKCHIEF OPERATING OFFICER5175547

Disclosures

Regulatory Event68

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Company Information

DASH FINANCIAL TECHNOLOGIES LLC

CRD#: 104031

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