Mark R. Spears
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 Richard Spears was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 19 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2001 - May 31, 2001
GUNNALLEN FINANCIAL, INC
July 10, 2000 - April 11, 2001
ALLEN DOUGLAS SECURITIES, INC.
July 8, 1999 - July 3, 2000
DONALD & CO. SECURITIES INC.
May 8, 1997 - May 26, 1999
LAWSON FINANCIAL CORPORATION
October 5, 1995 - April 16, 1997
AMUNI FINANCIAL, INC.
October 25, 1993 - August 29, 1995
CALTON & ASSOCIATES, INC.
October 5, 1992 - January 5, 1993
FIRST AMERICAN SECURITIES, INC.
July 10, 1992 - August 18, 1992
RHOADS FINANCIAL GROUP, INC.
December 17, 1991 - May 27, 1992
VANGUARD CAPITAL
November 14, 1990 - July 1, 1991
FIRST AMERICAN SECURITIES, INC.
August 1, 1990 - September 13, 1990
THE TRADING DESK, INC.
March 12, 1990 - July 6, 1990
APPLE SECURITIES, INC.
August 31, 1989 - January 1, 1990
ALLISON, ROSENBLUM & HANNAHS, INC.
May 4, 1989 - September 1, 1989
ALLEGIS FINANCIAL INVESTMENT CORPORATION
June 6, 1988 - February 11, 1989
U.S. ASSOCIATES, INC.
March 16, 1988 - May 17, 1988
U.S. ASSOCIATES, INC.
January 4, 1988 - February 10, 1988
FIRST STATE INVESTMENTS, INC.
December 16, 1987 - December 31, 1987
FIRST INVESTMENT SECURITIES, INC.
June 24, 1986 - November 10, 1987
T. J. RANEY & SONS, INC.
May 7, 1985 - June 23, 1986
L.A. BOYKIN & ASSOCIATES, INC.
March 6, 1985 - May 6, 1985
DELTA FINANCIAL INVESTMENT CORPORATION
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
