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Mark Francis Blaha

Joseph Gunnar & Co. LLC

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About Mark Francis Blaha

Mark Blaha is a securities professional with over 20 years of experience in the industry. Mark currently works at Joseph Gunnar & Co. LLC as a Registered Representative. Mark previously worked at Laidlaw & Company (UK) Ltd. Mark is also registered with FINRA and holds Series 3, 7, 31 and 63 licenses, as well as the SIE exam.

Firm Information

Mark Blaha is currently registered with Joseph Gunnar & Co. LLC. Joseph Gunnar & Co. LLC is a Limited Liability Company registered with the SEC and in 53 states. The firm, founded in 1997, is headquartered in Uniondale, New York and provides portfolio management services for individuals and selects other advisers. They are registered to offer wrap fee programs and have reported 5 regulatory events and 12 arbitration disclosures.
Joseph Gunnar & Co. LLC

1000 RXR PLAZA

UNIONDALE, NY 11556

$31.02M

Assets Under Management

Not reported

Total Clients

36

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Share in fees paid to tpmms

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Mark Blaha’s Registration & Firm History

NY

03/31/2022 - Present

Joseph Gunnar & Co. LLC (UNIONDALE NY)

NY

03/08/2013 - 04/25/2022

LAIDLAW & COMPANY (UK) LTD. (MELVILLE NY)

NY

05/18/2012 - 04/18/2013

ROCKWELL GLOBAL CAPITAL LLC (MELVILLE NY)

NY

08/23/2004 - 06/20/2012

LAIDLAW & COMPANY (UK) LTD. (MELVILLE NY)

NY

04/02/2002 - 08/23/2004

SANDS BROTHERS & CO., LTD. (NEW YORK NY)

CO

12/22/2000 - 03/26/2002

GLOBAL CAPITAL SECURITIES CORPORATION (ENGLEWOOD CO)

NY

04/07/2000 - 12/21/2000

MURPHY & DURIEU (NEW YORK NY)

NY

01/04/2000 - 04/25/2000

THE DREYFUS SERVICE CORPORATION (NEW YORK NY)

OK

11/03/1999 - 12/14/1999

AMERICAN INVESTMENT SERVICES, INC. (OKLAHOMA CITY OK)

NY

02/24/1999 - 10/21/1999

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

OK

07/13/1998 - 01/08/1999

AMERICAN INVESTMENT SERVICES, INC. (OKLAHOMA CITY OK)

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Licenses & Designations

IA

Issued 03/24/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/17/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/19/1999

Series 31 - Futures Managed Funds Examination

BC

Issued 07/07/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for Mark Francis Blaha. Review regulatory record here.
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