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 Saraiva is a registered representative with TD Securities (usa) LLC. Mark has been in the industry since July 31, 2004. Mark has a Series 7, Series 63, Series 79TO, Series 24, and SIE license. Prior to joining TD Securities (usa) LLC, Mark worked at Cowen and Company, Cowen Securities LLC, M.M. Dillon & Co. LLC, CRT Capital Group LLC, and Houlihan Lokey Howard & Zukin Capital, Inc.
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.
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2
NY
03/08/2024 - Present
TD Securities (usa) LLC (New York NY)
NY
05/08/2013 - 04/10/2024
COWEN AND COMPANY (NEW YORK NY)
NY
08/15/2011 - 05/30/2013
COWEN SECURITIES LLC (NEW YORK NY)
CT
03/23/2009 - 08/16/2011
M.M. DILLON & CO. LLC (STAMFORD CT)
CT
04/18/2008 - 04/03/2009
CRT CAPITAL GROUP LLC (STAMFORD CT)
NY
08/13/2004 - 09/17/2007
HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. (NEW YORK NY)
TN
10/30/2003 - 06/11/2004
SECURITIES SERVICE NETWORK, INC. (KNOXVILLE TN)
IA
Issued 11/21/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/10/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/01/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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