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Mark S. Bailey

TWO SIGMA SECURITIES
New York, NY 10013
Some features on this profile are disabled
CRD#: 5379971
MB

Professional summary

Mark Simon Bailey is a registered financial professional currently at TWO SIGMA SECURITIES, LLC located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2008. Mark has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Simon Bailey'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®
None

Experience

Current

February 11, 2016 - Present

TWO SIGMA SECURITIES, LLC

Office #1: 100 Avenue Of The Americas 2nd Floor, New York, NY 10013
BD
CRD#: 148960
New York, NY
Past

August 23, 2011 - July 6, 2015

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

March 11, 2009 - August 16, 2011

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

BD
CRD#: 16139
NEW YORK, NY
Past

January 26, 2009 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

April 10, 2008 - January 21, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(6/13/2017)
RR
New York
(2/11/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/15/2009
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

TS
TWO SIGMA SECURITIES, LLC
SOHO SECURITIES, LLC | TWO SIGMA SECURITIES, LLC

CRD#: 148960 / SEC#: , 8-68090

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Avenue Of The Americas 2nd Floor, New York, NY 10013
Mailing Address
100 Avenue Of The Americas 2nd Floor, New York, NY 10013
Phone number
(212) 625-5700
Established
Delaware since 10/03/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TWO SIGMA SECURITIES GROUP HOLDINGS LLCSOLE MEMBER
LENTERMAN, REMCO OSCARCHIEF EXECUTIVE OFFICER2270233
LUBETSKY, JASON MATTHEWFINOP, CFO AND PRINCIPAL FINANCIAL OFFICER4012781
VALLESE, CARL JOSEPHCHIEF COMPLIANCE OFFICER4464191
VIADRO, DIMITRICOO AND PRINCIPAL OPERATIONS OFFICER5027346

Disclosures

Regulatory Event18

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.

Company Information

TWO SIGMA SECURITIES, LLC

CRD#: 148960New York, NY 10013

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