Mark S. Perry
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Sherman Perry was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1983. Mark had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2015 - September 10, 2015
INDEPENDENT FINANCIAL GROUP, LLC
April 20, 2015 - September 10, 2015
INDEPENDENT FINANCIAL GROUP, LLC
April 6, 2015 - April 23, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 20, 2015 - April 23, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 16, 2004 - March 24, 2015
OSAIC WEALTH, INC.
April 17, 2003 - March 24, 2015
OSAIC WEALTH, INC.
October 1, 1999 - April 21, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 10, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
February 11, 1997 - May 9, 1997
MINT BROKERS
November 21, 1996 - May 9, 1997
CANTOR FITZGERALD SECURITIES
November 21, 1996 - May 9, 1997
CANTOR FITZGERALD & CO.
May 8, 1996 - November 27, 1996
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 18, 1994 - April 24, 1996
TULLETT & TOKYO SECURITIES, INC.
June 24, 1987 - September 30, 1987
REFCO SECURITIES, LLC
December 5, 1985 - July 30, 1987
FENCHURCH SECURITIES, INC.
May 15, 1984 - February 19, 1985
"SHAREAMERICA"
December 21, 1983 - February 29, 1984
GALLANT SECURITIES, INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
