Mark D. Pallai
Professional summary
Mark David Pallai is a registered financial professional currently at RABO SECURITIES USA, INC. located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2016. Mark has worked at 3 firms and has passed the Series 63, SIE, Series 79TO and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark David Pallai's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 21, 2023 - Present
RABO SECURITIES USA, INC.
Office #1: 151 West 42nd Street 8th Floor, New York, NY 10036April 1, 2017 - November 17, 2020
MUFG SECURITIES AMERICAS INC.
December 20, 2016 - April 1, 2017
MUFG AMERICAS CORPORATE ADVISORY, 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
(2/27/2024)
Exams
Series 79TO
Date: 8/21/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
RABO SECURITIES USA, INC.
CRD#: 122657 / SEC#: , 8-65525
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
Red Flags
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