Mark E. Mcgann
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 Emmett Mcgann was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 9 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2009 - March 8, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 5, 2009 - March 8, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 2008 - June 8, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - June 8, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - January 1, 2008
A. G. EDWARDS & SONS, INC.
October 4, 1990 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 18, 1989 - April 9, 1990
MONARCH SECURITIES, INC.
April 18, 1986 - January 23, 1989
TRANSAMERICA FUND DISTRIBUTORS, INC.
September 19, 1985 - April 17, 1986
W&S BROKERAGE SERVICES, INC.
July 23, 1985 - September 9, 1985
HALL SECURITIES CORPORATION
October 26, 1984 - January 25, 1985
SCONCE, CRAFT AND ASSOCIATES
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
Series 8
Date: 6/21/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
