Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Anthony Nauman has been in the financial services industry since August 19, 1996. Currently, Mark Anthony Nauman is registered with Dinosaur Financial Group, LLC in New York. Previously, Mark Anthony Nauman was affiliated with Tullett Prebon Financial Services LLC, Lampert Capital Markets Inc., KCCI, LTD. and Investec Ernst & Company. Mark Anthony Nauman holds multiple licenses and certifications including Series 7, 24, 25, 55, 63, 12, 14, 27, 57TO, and 99TO. Mark Anthony Nauman is registered in 4 states: Florida, Illinois, North Carolina and Texas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
01/21/2016 - Present
Dinosaur Financial Group, LLC (NEW YORK NY)
NJ
04/28/2015 - 01/15/2016
TULLETT PREBON FINANCIAL SERVICES LLC (JERSEY CITY NJ)
NJ
01/02/2014 - 04/30/2015
LAMPERT CAPITAL MARKETS INC. (JERSEY CITY NJ)
NJ
10/01/2000 - 01/06/2014
KCCI, LTD. (JERSEY CITY NJ)
NY
08/15/1996 - 12/15/2000
INVESTEC ERNST & COMPANY (NEW YORK NY)
BC
Issued 11/19/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2000
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/01/2000
Series 12 - NYSE Branch Manager Examination
BC
Issued 08/25/1999
Series 14 - Compliance Officer Examination
BC
Issued 08/15/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2010
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/01/2000
Series 7 - General Securities Representative Examination
BC
Issued 02/17/2000
Series 25 - NYSE Trading Assistant Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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