Mark P. Haslinger
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 Peter Haslinger was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2018 - November 20, 2019
ROOSEVELT & CROSS, INCORPORATED
August 1, 2014 - March 1, 2018
U.S. BANCORP INVESTMENTS, INC.
July 7, 2008 - July 21, 2014
WILLIAM BLAIR
March 3, 2008 - June 26, 2008
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
March 16, 2004 - January 9, 2008
POPULAR SECURITIES, LLC
July 1, 2003 - March 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 25, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 13, 1998 - November 9, 2000
ADVEST, INC.
December 5, 1996 - March 11, 1998
LEHMAN BROTHERS INC.
November 14, 1994 - June 11, 1996
DAIN RAUSCHER INCORPORATED
October 31, 1985 - November 14, 1994
CLAYTON BROWN & ASSOCIATES, 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
Series 8
Date: 2/11/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROOSEVELT & CROSS, INCORPORATED
CRD#: 6964 / SEC#: , 8-19363
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FARAWELL, JOHN MADDEN | DIRECTOR | 1018554 |
| FINN, FRANCIS GREGORY | CHAIRMAN OF THE BOARD | 1019346 |
| BRENNAN, ELAINE MARIE | DIRECTOR | 720043 |
| HALLER, JOSEPH CROSS | DIRECTOR | 4826263 |
| MONAHAN, SCOTT THOMAS | DIRECTOR | 4882785 |
| STAVITSKI, CHARLES CLEMENT | CEO | 5435642 |
| WAGNER, DAVID CHARLES | DIRECTOR | 4249755 |
| WELSH, WILLIAM WALTER | 5% OWNER | 1602929 |
| CAWLEY, KATHLEEN | CCO | 1129804 |
| MOORE, DAVID WILLIAM | COO/SENIOR VICE PRESIDENT | 2209528 |
| SAKOL, DANIEL SCOTT | FINOP | 2813237 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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