Mark J. Mcgrath
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 Joseph Mcgrath, who also goes by Mark J Mcgrath, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2005. Mark had worked at 8 firms and has passed the Series 66, SIE, Series 31 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
August 5, 2015 - February 15, 2022
LAZARD ASSET MANAGEMENT SECURITIES LLC
May 20, 2010 - August 6, 2015
SEI INVESTMENTS DISTRIBUTION CO.
May 14, 2010 - August 6, 2015
SEI INVESTMENTS MANAGEMENT CORP
January 2, 2009 - May 12, 2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
December 8, 2008 - May 12, 2010
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
May 4, 2007 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
May 19, 2006 - March 22, 2007
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
November 30, 2005 - March 22, 2007
AMUNDI DISTRIBUTOR US, 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
LAZARD ASSET MANAGEMENT SECURITIES LLC
CRD#: 129119 / SEC#: , 8-66201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
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.
