Mark S. Gardner
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 Steven Gardner, who also goes by None, was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1977. Mark had worked at 11 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 1, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2014 - November 6, 2015
J.H. DARBIE & CO., INC.
December 1, 2010 - July 11, 2012
HOLISTIC BROKERAGE, LLC
June 26, 2008 - November 26, 2008
OPPENHEIMER & CO. INC.
June 4, 2008 - November 26, 2008
OPPENHEIMER & CO. INC.
February 24, 1986 - June 12, 2008
J.P. MORGAN SECURITIES LLC
February 24, 1986 - June 12, 2008
J.P. MORGAN SECURITIES LLC
April 1, 1985 - January 23, 1986
MORGAN STANLEY DW INC.
March 1, 1985 - April 25, 1985
THOMSON MCKINNON SECURITIES INC.
June 12, 1981 - July 30, 1984
E. F. HUTTON & COMPANY INC
May 29, 1981 - October 5, 1983
COOGAN, GILBERT & CO., INC.
April 1, 1981 - October 20, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 3, 1977 - April 13, 1981
CITIGROUP GLOBAL MARKETS INC.
January 6, 1977 - October 25, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 10/5/1981
Interest Rate Options ExaminationSeries 1
Date: 12/24/1976
Registered Representative ExaminationSeries 12
Date: 6/20/1981
NYSE Branch Manager ExaminationCurrent Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
