Mark J. Hosek
Professional summary
Mark James Hosek, who also goes by Mark James Hosek, is a registered financial professional currently at OSAIC WEALTH, INC. located in Scottsdale, Arizona and LADENBURG THALMANN & CO. INC. located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2006. Mark has worked at 9 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark James Hosek's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2021 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255December 6, 2022 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019September 2, 2021 - September 1, 2023
OSAIC SERVICES, INC.
September 2, 2021 - November 3, 2023
FSC SECURITIES CORPORATION
September 2, 2021 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
September 2, 2021 - June 14, 2024
SECURITIES AMERICA, INC.
September 2, 2021 - August 23, 2024
TRIAD ADVISORS LLC
August 2, 2018 - August 19, 2021
TD AMERITRADE CLEARING, INC.
April 22, 2006 - August 19, 2021
TD AMERITRADE, INC.
March 8, 2006 - April 22, 2006
TD AMERITRADE CLEARING, 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
(9/1/2021)
(9/1/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
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.
