Mark R. Farwell
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 Robert Farwell, who also goes by Mark R Farwell, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6, 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
February 12, 2018 - July 23, 2019
SOUTHEAST INVESTMENTS, N.C., INC.
July 8, 2014 - December 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
June 17, 2014 - December 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
April 25, 2006 - May 22, 2014
LPL FINANCIAL LLC
April 5, 2006 - May 22, 2014
LPL FINANCIAL LLC
December 1, 2001 - April 6, 2006
U.S. BANCORP INVESTMENTS, INC.
March 12, 1997 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
November 14, 1996 - February 7, 1997
ALLSTATE FINANCIAL SERVICES, LLC
November 13, 1995 - October 15, 1996
NATCITY INSURANCE SERVICES, INC.
December 15, 1994 - November 21, 1995
ESSEX NATIONAL SECURITIES, LLC
October 10, 1994 - December 16, 1994
HAMILTON INVESTMENTS, INC.
December 14, 1992 - October 10, 1994
CAL FED INVESTMENTS
August 23, 1990 - December 31, 1991
SECURITIES AMERICA, INC.
September 24, 1984 - March 31, 1986
WADDELL & REED
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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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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