Mark H. Kordes
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 Henry Kordes, CFP®, who also goes by Mark Henry Kordes, Mark H Kordes, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3, Series 15, Series 5, Series 7 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
Start date: 1997
Experience
May 30, 2024 - May 17, 2026
J.P. MORGAN SECURITIES LLC
February 1, 2024 - May 17, 2026
J.P. MORGAN SECURITIES LLC
August 31, 2022 - March 20, 2025
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
January 6, 2021 - August 8, 2022
ADVISORS CAPITAL MANAGEMENT, LLC
April 30, 2008 - July 12, 2010
UBS FINANCIAL SERVICES INC.
April 19, 2004 - July 12, 2010
UBS FINANCIAL SERVICES INC.
July 27, 2000 - April 7, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 1998 - April 24, 2000
1ST GLOBAL CAPITAL CORP.
May 16, 1997 - June 26, 1998
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
March 24, 1994 - May 20, 1997
SUMMIT EQUITIES, INC.
March 12, 1991 - May 20, 1992
GEORGE MCKELVEY CO., INC.
June 25, 1985 - July 31, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 1985 - July 22, 1985
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 7TO
Date: 1/31/2024
General Securities Representative ExaminationSeries 15
Date: 1/30/1987
Foreign Currency Options ExaminationSeries 5
Date: 1/23/1987
Interest Rate Options ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
