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MZ

Mark A. Zager

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CRD#: 7413613
MZ

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 A. Zager was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 2021. Mark had worked at 1 firm and has passed the Series 7TO and SIE 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 5, 2021 - September 12, 2025

FIRST MANHATTAN SECURITIES LLC

BD
CRD#: 1845
New York, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 11/5/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/13/2021
Securities Industry Essentials Examination

Current Firm

FIRST MANHATTAN SECURITIES LLC
FIRST MANHATTAN SECURITIES LLC
FIRST MANHATTAN CO | FIRST MANHATTAN SECURITIES LLC | FIRST MANHATTAN CO. LLC

CRD#: 1845 / SEC#: 801-12411, 8-10438

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

Main Address
399 Park Avenue, New York, NY 10022
Mailing Address
399 Park Avenue, New York, NY 10022
Phone number
(212) 756-3300
Established
Delaware since 11/02/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
114

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
FMC GROUP HOLDINGS LPLIMITED PARTNERSHIP
WYDRA, ZACHARY ACHIEF EXECUTIVE OFFICER2937857
ASPEN, ANDREW JOSEPHCHIEF LEGAL OFFICER5282749
COVINO, JEREMY PAULCHIEF COMPLIANCE OFFICER (FOR PURPOSES OF FINRA RULE 3130)6794503
PINTO, ALVARO SPINOLAFINOP/PRINCIPAL OPERATIONS OFFICER6367887
SAMMARCO, JOSEPH ANTHONYCO-DIRECTOR OF OPERATIONS; HEAD OF SUPERVISION2982052

Regulatory assets under management

Total Number of Accounts5,308
AUM (Assets Under Management)$ 29,853,233,052

Disclosures

Regulatory Event10

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/22/2022
Cover Page
Report

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

FIRST MANHATTAN SECURITIES LLC

FIRST MANHATTAN SECURITIES LLC

CRD#: 1845

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