Mark A. Abeshouse
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 Alan Abeshouse was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1980. Mark had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2016 - October 29, 2018
BENJAMIN & JEROLD BROKERAGE I, LLC
December 24, 2013 - January 9, 2015
CV BROKERAGE, INC
January 4, 2006 - December 31, 2007
USF ALTERNATIVE SERVICES, LLC
November 7, 1997 - August 15, 2011
CYGNI SECURITIES, LLC
September 3, 1993 - April 7, 1997
PARAMOUNT BIOCAPITAL, INC.
September 29, 1989 - June 15, 1992
LAZARD FRERES & CO. LLC
May 27, 1986 - August 19, 1989
MORGAN STANLEY & CO. LLC
August 20, 1980 - December 1, 1984
SALOMON BROTHERS 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
Exams
Series 15
Date: 3/21/1989
Foreign Currency Options ExaminationSeries 5
Date: 10/21/1981
Interest Rate Options ExaminationCurrent Firm
BENJAMIN & JEROLD BROKERAGE I, LLC
CRD#: 29110 / SEC#: , 8-44133
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
