Mark S. Estrich
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 Stuart Estrich was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1976. Mark had worked at 28 firms and has passed the 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
November 11, 2013 - April 30, 2020
MAREX CAPITAL MARKETS INC.
August 25, 2009 - November 20, 2013
ATLAS ONE FINANCIAL GROUP, LLC
April 30, 2008 - August 24, 2009
JESUP & LAMONT SECURITIES CORP
September 21, 2007 - March 3, 2008
MULTI-BANK SECURITIES, INC.
August 6, 2007 - September 19, 2007
STERNE, AGEE & LEACH, INC.
June 11, 2007 - July 31, 2007
STERNE, AGEE & LEACH, INC.
September 15, 2003 - June 12, 2007
MULTI-BANK SECURITIES, INC.
May 29, 2002 - September 29, 2003
MESIROW FINANCIAL, INC.
February 12, 2002 - May 28, 2002
RAGEN MACKENZIE INVESTMENT SERVICES, LLC
May 16, 2001 - March 12, 2002
CONTINENTAL BROKER-DEALER CORP.
January 2, 2001 - May 17, 2001
MESIROW FINANCIAL, INC.
August 4, 1997 - January 2, 2001
SUNCOAST CAPITAL GROUP, LTD.
June 6, 1995 - July 29, 1997
LOP CAPITAL MARKETS, INC.
September 13, 1994 - April 2, 1997
LEHWALD, OROSEY & PEPE INCORPORATED
May 27, 1993 - September 1, 1994
UBS FINANCIAL SERVICES INC.
June 14, 1988 - May 27, 1993
LEHWALD, OROSEY & PEPE INCORPORATED
January 7, 1988 - May 25, 1988
FIRST STATE INVESTMENTS, INC.
August 26, 1986 - December 31, 1987
FIRST INVESTMENT SECURITIES, INC.
February 13, 1986 - April 8, 1986
MOORE & SCHLEY, CAMERON & CO.
January 29, 1986 - April 7, 1986
GMS GROUP
April 18, 1984 - November 15, 1985
COMMVEST SECURITIES,INC.
August 12, 1983 - August 29, 1983
H. BURCKHARDT & COMPANY, INC.
August 12, 1983 - January 9, 1984
J. B. HANAUER & CO.
September 28, 1982 - April 20, 1983
JW GENESIS CLEARING CORP.
April 16, 1982 - October 1, 1982
LEHMAN BROTHERS INC.
February 8, 1982 - June 7, 1982
ALLIED SECURITIES CORPORATION
August 12, 1980 - August 25, 1981
HANAUER, STERN & COMPANY,INCORPORATED
October 4, 1979 - August 18, 1980
DONALD SHELDON & CO., INC.
March 9, 1979 - June 21, 1979
FIRST INTERREGIONAL EQUITY CORP.
January 22, 1979 - March 14, 1979
SMITH, BARNEY & CO. INCORPORATED
January 27, 1978 - March 1, 1979
STATE STREET SECURITIES, INC.
March 21, 1977 - February 9, 1978
RICHARD FRANKLIN, INC.
January 2, 1976 - April 17, 1977
DONALD SHELDON & CO., INC.
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
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
