Mark S. Lee
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 Stephen Lee was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2017 - July 13, 2018
PATRICK CAPITAL MARKETS, LLC
March 31, 2016 - November 10, 2016
S2K FINANCIAL LLC
September 14, 2009 - October 14, 2015
REALTY CAPITAL SECURITIES, LLC
May 15, 2008 - January 27, 2009
CAREY FINANCIAL, LLC
December 23, 1996 - May 1, 2008
EQUITABLE DISTRIBUTORS, LLC
December 3, 1990 - November 20, 1996
PIPER SANDLER & CO.
January 31, 1984 - October 31, 1990
SHURGARD REALTY ADVISORS, INC.
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
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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