Mark A. Spina
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 Anthony Spina was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1980. Mark had worked at 11 firms and has passed the Series 63, Series 55, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2011 - March 13, 2012
TELSEY ADVISORY GROUP LLC
April 18, 2005 - September 21, 2010
BMO CAPITAL MARKETS CORP.
June 2, 2004 - April 14, 2005
SOLEIL SECURITIES CORPORATION
April 29, 2004 - June 9, 2004
NEW VERNON SECURITIES, LLC
March 15, 2004 - March 26, 2004
RODMAN & RENSHAW, LLC
June 10, 2002 - January 27, 2004
RAYMOND JAMES & ASSOCIATES, INC.
March 1, 2002 - April 18, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
January 2, 1997 - April 30, 2001
ABN AMRO INCORPORATED
April 22, 1996 - January 2, 1997
THE CHICAGO CORPORATION
January 28, 1995 - April 19, 1996
UBS FINANCIAL SERVICES INC.
August 19, 1980 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
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
Series 55
Date: 2/22/2005
Limited Representative-Equity Trader ExamSeries 8
Date: 5/4/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TELSEY ADVISORY GROUP LLC
CRD#: 148234 / SEC#: , 8-67988
Contact information
FINRA licenses (19 States and Territories)
Documents
Red Flags
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