Mark J. Pratt
Professional summary
Mark John Pratt is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Davis, California and NYLIFE SECURITIES LLC located in Davis, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Mark has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark John Pratt's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 13, 2009 - Present
EAGLE STRATEGIES LLC
Office #1: 1756 Picasso Ave Suite B, Davis, CA 95618November 19, 2001 - Present
NYLIFE SECURITIES LLC
Office #1: 1756 Picasso Ave Suite B, Davis, CA 95618July 17, 1996 - November 8, 2001
LONDON PACIFIC SECURITIES, INC.
June 21, 1996 - July 2, 1996
WELLS FARGO SECURITIES INC.
March 29, 1995 - November 15, 1995
ESSEX NATIONAL SECURITIES, LLC
November 29, 1994 - July 2, 1996
FIRST INTERSTATE INVESTMENTS,INC.
August 9, 1989 - November 7, 1994
DETWILER FENTON WEALTH MANAGEMENT INC
January 12, 1988 - October 31, 1988
MUTUAL SERVICE CORPORATION
April 24, 1985 - January 7, 1988
THE ADVISORS GROUP, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/18/2003)
(9/2/2022)
(11/19/2001)
(7/13/2009)
(8/26/2013)
(8/10/2018)
(3/24/2017)
(10/2/2020)
(11/23/2021)
(6/14/2024)
(2/18/2014)
(8/29/2023)
(6/16/2025)
(1/23/2018)
(4/25/2022)
(4/4/2003)
(5/6/2004)
(4/29/2020)
(7/10/2024)
(6/11/2013)
(3/5/2020)
(9/8/2011)
(12/26/2020)
(1/28/2008)
Exams
FINRA
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
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