Mark P. Bennett
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 Phillip Bennett, who also goes by Mark P Bennett, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - July 5, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 23, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 29, 2005 - July 5, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 28, 1998 - August 29, 2005
MORGAN STANLEY DW INC.
July 31, 1993 - September 9, 1998
CITIGROUP GLOBAL MARKETS INC.
May 19, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
September 12, 1989 - May 21, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 1984 - September 20, 1989
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
