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Alma D. Irving
LIFEMARK SECURITIES
Pleasanton, CA
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CRD#: 1187897
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Professional summary
Alma Darnell Irving is a registered financial professional currently at LIFEMARK SECURITIES CORP. located in Pleasanton, California.
Alma is registered as a RR (Registered Representative) and started their career in finance in 1984. Alma has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Alma Darnell Irving's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 2, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Pleasanton, CA
Past
September 20, 2000 - November 5, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
MARTINEZ, CA
Past
February 23, 1984 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
February 23, 1984 - July 22, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/3/2021)
RR
Arizona(12/21/2022)
RR
California(11/2/2018)
RR
Florida(7/26/2021)
RR
Georgia(11/2/2018)
RR
Idaho(4/2/2025)
RR
Indiana(6/25/2021)
RR
Louisiana(11/7/2022)
RR
Maryland(11/5/2018)
RR
Massachusetts(11/5/2018)
RR
Missouri(10/10/2024)
RR
Nevada(6/7/2021)
RR
New Mexico(12/23/2021)
RR
New York(3/17/2023)
RR
North Carolina(11/2/2018)
RR
Oklahoma(11/5/2018)
RR
Oregon(11/13/2024)
RR
Pennsylvania(8/11/2021)
RR
Tennessee(11/13/2024)
RR
Texas(11/2/2018)
RR
Washington(11/5/2018)
RR
Wisconsin(7/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
