Paul M. Newmark
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.
Paul Marvin Newmark, who also goes by Paul M Newmark, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1976. Paul had worked at 6 firms and has passed the Series 63 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2005 - August 29, 2012
COMMERZ MARKETS LLC
April 30, 2001 - September 20, 2004
ING FINANCIAL MARKETS LLC
May 22, 1996 - July 16, 1999
ING INVESTMENT MANAGEMENT SERVICES LLC
August 26, 1992 - April 30, 2001
ABN AMRO SECURITIES LLC
July 25, 1987 - April 1, 1991
LEHMAN GOVERNMENT SECURITIES INC.
September 1, 1976 - April 1, 1991
LEHMAN SPECIAL SECURITIES 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 40
Date: 5/20/1976
Registered Principal ExaminationCurrent Firm
COMMERZ MARKETS LLC
CRD#: 41957 / SEC#: , 8-49647
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERZBANK AG | SHAREHOLDER | |
| BARBELLA, JOSEPH | CHIEF COMPLIANCE OFFICER | 5058379 |
| DEFREN, JOHN CHARLES | CHIEF LEGAL OFFICER | 5917742 |
| GEREMIA, JOHN MICHAEL | PRESIDENT/MEMBER BOARD OF MANAGERS | 1794769 |
| HOLSTEN, ANDREAS FRITZ BRUNO | MEMBER BOARD OF MANAGERS | |
| HUBLEY, YOKO | CFO/FINOP | 4297053 |
| LI, SU-CHANG | PRINCIPAL OPERATIONS OFFICER/FINOP | 4990155 |
| LLOYD, KEITH ROSWELL | MEMBER BOARD OF MANAGERS | 2836268 |
| ROYAN, LEE-ANN | CHIEF OPERATING OFFICER | 4860551 |
| SOENNECKEN SCHMIDT, SILKE | MEMBER BOARD OF MANAGERS | |
| TONER, JOSEPH GREGORY | TREASURER | 4910635 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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