Mark L. Gladstone
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 L Gladstone, who also goes by Mark Gladstone, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1975. Mark had worked at 19 firms and has passed the Series 63, SIE, Series 55, PC, Series 7, Series 1 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
May 31, 2013 - December 31, 2015
TRADINGBLOCK
June 18, 2012 - May 1, 2013
LEGEND SECURITIES, INC.
September 12, 2011 - February 1, 2013
LEGEND TRADING, LLC
May 10, 2011 - August 2, 2011
DIMENSION TRADING GROUP, LLC
March 19, 2009 - December 6, 2010
MAY CAPITAL GROUP, L.L.C.
January 12, 2006 - August 15, 2007
TRANSCEND CAPITAL
May 5, 2003 - November 16, 2005
ELECTRONIC TRADING GROUP, LLC
June 24, 1998 - May 8, 2003
BEECH HILL SECURITIES, INC.
February 21, 1995 - July 2, 1998
FIRST COLONIAL SECURITIES
August 12, 1994 - February 9, 1995
MERCER SECURITIES, LTD.
June 26, 1990 - September 2, 1994
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1989 - June 12, 1990
CITIGROUP GLOBAL MARKETS INC.
March 25, 1987 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
April 23, 1984 - April 20, 1987
BRADLEY HUMMEL & CO. INC.
December 2, 1982 - March 27, 1984
ROONEY, PACE INC.
July 1, 1982 - December 20, 1982
MARSAN SECURITIES CO., INC.
May 26, 1982 - June 16, 1982
MARSAN SECURITIES CO., INC.
January 6, 1982 - May 14, 1982
ROONEY, PACE INC.
January 6, 1977 - September 14, 1981
JOHN MUIR & CO.
September 1, 1976 - February 22, 1977
E. F. HUTTON & COMPANY INC
November 17, 1975 - May 30, 1976
PERSONAL ECONOMICS SECURITIES CORPORATION
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: 2/1/2000
Limited Representative-Equity Trader ExamPC
Date: 12/18/1990
AMEX Put and Call ExamSeries 1
Date: 11/13/1975
Registered Representative ExaminationCurrent Firm
TRADINGBLOCK
CRD#: 128605 / SEC#: , 8-66163
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | |
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 |
| HOEH, PHILLIP JOHN | CCO | 2231877 |
| MARTINO, GARY ANTHONY | VP | 1458334 |
| OGILVIE, DONAL SHANNON | COO | 2863275 |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
Disclosures
| Regulatory Event | 9 |
| 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.
