Mark J. Powers
Professional summary
Mark Judson Powers, who also goes by Mark Judson Powers, Mark Powers, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2013. Mark has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Judson Powers's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 17, 2020 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528January 18, 2017 - January 14, 2020
BLUE OWL SECURITIES
May 13, 2013 - December 20, 2016
CAREY FINANCIAL, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/17/2020)
(1/17/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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