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ML

Mark E. Lunden

Some features on this profile are disabled
CRD#: 1263264
ML

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 Edward Lunden was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 16 firms and has passed the Series 63, SIE, Series 3 and Series 7 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 22, 2015 - May 31, 2016

LPS CAPITAL LLC

BD
CRD#: 155246
Jupiter, FL
Past

June 22, 2012 - July 16, 2014

CAROLINA CAPITAL MARKETS, INC.

BD
CRD#: 38156
CHAPEL HILL, NC
Past

March 22, 2011 - February 8, 2012

BGC FINANCIAL, L.P.

BD
CRD#: 19801
PALM BEACH GARDENS, FL
Past

March 25, 2008 - July 30, 2010

WHITAKER SECURITIES LLC

BD
CRD#: 121465
JUNO BEACH, FL
Past

April 26, 2002 - March 12, 2008

SEABOARD SECURITIES, INC.

BD
CRD#: 755
JUNO BEACH, FL
Past

May 18, 2001 - April 9, 2002

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

January 5, 2000 - April 20, 2001

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

December 19, 1997 - January 4, 2000

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

February 17, 1994 - December 12, 1997

TULLETT & TOKYO SECURITIES, INC.

BD
CRD#: 19595
NEW YORK, NY
Past

November 8, 1991 - September 9, 1992

TOKAI SECURITIES, INC.

BD
CRD#: 25328
NEW YORK, NY
Past

February 5, 1991 - November 6, 1991

DEALERWEB LLC

BD
CRD#: 19662
JERSEY CITY, NJ
Past

January 25, 1991 - November 6, 1991

HILLIARD FARBER SECURITIES CORP.

BD
CRD#: 18504
NEW YORK, NY
Past

September 14, 1990 - December 20, 1990

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ
Past

April 13, 1988 - March 6, 1989

UBS SECURITIES LLC

BD
CRD#: 7654
Past

October 9, 1984 - September 1, 1987

PERSHING LLC

BD
CRD#: 7560
Past

May 22, 1984 - September 7, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/13/1999
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1984
General Securities Representative Examination

Current Firm

LC
LPS CAPITAL LLC
DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC

CRD#: 155246 / SEC#: , 8-68706

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
600 Lexington Avenue Suite 502, New York, NY 10022
Mailing Address
600 Lexinggton Avenue Suite 502, New York, NY 10022
Phone number
(212) 441-3810
Established
California since 05/18/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LPS PARTNERS LLCOWNER
TARLETON, JOHN WILLIAMPRESIDENT, CCO, FINOP1631047

Disclosures

Regulatory Event1

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.

Company Information

LPS CAPITAL LLC

CRD#: 155246

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