Mark G. Knodel
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 Gregory Knodel was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2010 - October 17, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 5, 2010 - October 17, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 14, 2008 - November 5, 2010
NRP ADVISORS, INC.
November 14, 2008 - November 5, 2010
NRP FINANCIAL, INC.
December 10, 2004 - December 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 2004 - December 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 1994 - December 16, 2004
UBS FINANCIAL SERVICES INC.
May 30, 1994 - December 16, 2004
UBS FINANCIAL SERVICES INC.
August 8, 1986 - May 20, 1994
LEHMAN BROTHERS INC.
September 25, 1985 - August 1, 1986
MORGAN STANLEY DW INC.
February 21, 1985 - July 31, 1985
FIRST JERSEY SECURITIES, 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.
