Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Hoffman is a securities professional with over 20 years of experience in the financial industry. Mark has held various roles at several prominent firms, including Morgan Stanley & Co., Incorporated, Josephthal Lyon & Ross Incorporated, and Gruntal & Co., L.L.C. Currently, Mark is registered with BNP Paribas Securities Corp., and is licensed to conduct business in all states. Mark holds the Series 3, 7, 55, 57, and 63 licenses.
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
11/22/2022 - Present
BNP Paribas Securities Corp. (NEW YORK NY)
NA
06/30/2003 - 04/28/2005
HIGHBRIDGE CAPITAL CORPORATION (GRAND CAYMAN )
NY
06/30/2003 - 11/18/2004
AUDOBON SECURITIES, INC. (NEW YORK NY)
NY
11/12/2002 - 12/02/2002
FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)
NY
03/13/1998 - 02/24/2000
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
08/05/1996 - 02/26/1998
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
01/20/1996 - 08/05/1996
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
BC
Issued 10/22/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/10/2023
Series 7TO - General Securities Representative Examination
BC
Issued 11/18/2022
Series 57TO - Securities Trader Exam
BC
Issued 04/30/2004
Series 3 - National Commodity Futures Examination
BC
Issued 11/11/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/14/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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