MD
Mark L. Dooley
SIG BROKERAGE, LP
New York, NY 10005
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CRD#: 4992268
MD
Professional summary
Mark Lawrence Dooley is a registered financial professional currently at SIG BROKERAGE, LP located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2005. Mark has worked at 2 firms .
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Lawrence Dooley'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®
NoneExperience
Current
October 26, 2023 - Present
SIG BROKERAGE, LP
Office #1: 140 Broadway 47th Floor, New York, NY 10005BD
CRD#: 100400
New York, NY
Past
July 7, 2005 - March 23, 2006
SIG SPECIALISTS, INC.
BD
CRD#: 21831
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
SRO Registrations
RR
New York Stock Exchange
Current Firm
SB
SIG BROKERAGE, LP
SIG BROKERAGE, LP | SUSQUEHANNA BROKERAGE, L.P.
CRD#: 100400 / SEC#: , 8-52028
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
30 Hudson Yards 16th Floor, New York, NY 10001
Mailing Address
401 City Lane Ave, Bala Cynwyd, PA 19004
Phone number
(610) 617-2600
Established
Delaware since 08/19/1999
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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