Mark Edward Mccormick
Professional Summary
Mark Edward Mccormick is a registered financial advisor currently at CETERA FINANCIAL SPECIALISTS LLC located in Burlington, Vermont. Mark is registered as a RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
KINGSVIEW WEALTH MANAGEMENT, LLC
RAYMOND JAMES & ASSOCIATES, INC.
SOUND TRUST WEALTH ADVISORS, LLC
FALCON WEALTH PLANNING, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
KINGSVIEW WEALTH MANAGEMENT, LLC
RAYMOND JAMES & ASSOCIATES, INC.
SOUND TRUST WEALTH ADVISORS, LLC
FALCON WEALTH PLANNING, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
KINGSVIEW WEALTH MANAGEMENT, LLC
RAYMOND JAMES & ASSOCIATES, INC.
SOUND TRUST WEALTH ADVISORS, LLC
FALCON WEALTH PLANNING, LLC
Disclosures on record.
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.
Similar Advisors
KINGSVIEW WEALTH MANAGEMENT, LLC
RAYMOND JAMES & ASSOCIATES, INC.
SOUND TRUST WEALTH ADVISORS, LLC
FALCON WEALTH PLANNING, LLC
Years of Experience
34 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
KINGSVIEW WEALTH MANAGEMENT, LLC
RAYMOND JAMES & ASSOCIATES, INC.
SOUND TRUST WEALTH ADVISORS, LLC
FALCON WEALTH PLANNING, LLC
Current Firm
CETERA FINANCIAL BROKERAGE SERVICES | TERRA SECURITIES CORPORATION | GENWORTH FINANCIAL SECURITIES CORPORATION | GENWORTH FINANCIAL BROKERAGE SERVICES | CETERA FINANCIAL SPECIALISTS LLC
Contact Information
Main Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173Mailing Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173Phone Number
(888) 528-2987Established
Delaware since 10/31/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | — |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| MOLNAR, MICHAEL JAMES | VICE PRESIDENT | 4866129 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| NILAND, ERIK BRADLEY | VICE PRESIDENT | 2796476 |
| PATTERSON, GERALD | VICE PRESIDENT | 4302538 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4780880 |
| WENIG, HARLAN DAVID | VICE PRESIDENT | 4690768 |
Disclosures
Regulatory Event
11Arbitration
3Similar Advisors
KINGSVIEW WEALTH MANAGEMENT, LLC
RAYMOND JAMES & ASSOCIATES, INC.
SOUND TRUST WEALTH ADVISORS, LLC
FALCON WEALTH PLANNING, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
KINGSVIEW WEALTH MANAGEMENT, LLC
RAYMOND JAMES & ASSOCIATES, INC.
SOUND TRUST WEALTH ADVISORS, LLC
FALCON WEALTH PLANNING, LLC
State Registrations and Notice Filings
(1/2/2025)
(1/2/2021)
(1/2/2025)
(1/2/2025)
(1/3/2022)
(10/6/2008)
(5/7/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
KINGSVIEW WEALTH MANAGEMENT, LLC
RAYMOND JAMES & ASSOCIATES, INC.
SOUND TRUST WEALTH ADVISORS, LLC
FALCON WEALTH PLANNING, LLC
CRS (Client Relationship Summary) - BD
Click below to view Mark Edward Mccormick's CRS (Customer Relationship Summary).
Similar Advisors
KINGSVIEW WEALTH MANAGEMENT, LLC
RAYMOND JAMES & ASSOCIATES, INC.
SOUND TRUST WEALTH ADVISORS, LLC
FALCON WEALTH PLANNING, LLC