JS
John S. Shook
LIFEMARK SECURITIES
Ocala, FL
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CRD#: 1347381
JS
Professional summary
John Stephen Shook, who also goes by Steve Shook, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Ocala, Florida.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Shook
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. FORT KING INSURANCE AND FINANCIAL SERVICES, INC. / INVESTMENT RELATED / 3530 SE 31ST TERRACE, OCALA, FL, USA, 34471 / PRESIDENT, INDEPENDENT INSURANCE AGENT / START 01/1998 / 15 HOURS/MONTH / 2 HOURS/MONTH DURING SECURITIES TRADING HOURS / SALES AND SERVICE OF LIFE, HEALTH AND ANNUITIES. 2. INDEPENDENT TAX PREPARER / NOT INVESTMENT RELATED / 3530 SE 31ST TERRACE, OCALA, FL 34471 / 01/2023 / 4 HOURS/MONTH DURING JANUARY-APRIL / 4 HOURS/MONTH DURING SECURITIES TRADING HOURS / TAX PREPARATION.
CRS (Client Relationship Summary) - RIA
Click below to view John Stephen Shook's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Stephen Shook's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 10, 2019 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Ocala, FL
Current
October 29, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Ocala, FL
Past
January 3, 2011 - November 12, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
OCALA, FL
Past
August 1, 2008 - December 10, 2010
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
OCALA, FL
Past
July 27, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
OCALA, FL
Past
August 21, 2002 - May 16, 2007
KOVACK SECURITIES INC.
BD
CRD#: 44848
FT. LAUDERDALE, FL
Past
January 9, 2002 - August 23, 2002
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
November 9, 2000 - December 31, 2001
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
February 10, 2000 - November 8, 2000
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
April 1, 1996 - December 31, 1999
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
March 11, 1993 - March 29, 1996
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
March 5, 1985 - February 3, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/29/2018)
RR
Arizona(5/7/2024)
RR
Arkansas(10/29/2018)
RR
California(5/7/2024)
RR
Colorado(5/7/2024)
RR
Delaware(5/7/2024)
RR
Florida(10/31/2018)
IAR
Florida(10/10/2019)
RR
Georgia(10/29/2018)
RR
Illinois(5/7/2024)
RR
Indiana(5/7/2024)
RR
Kentucky(5/7/2024)
RR
Louisiana(10/29/2018)
RR
Michigan(5/7/2024)
RR
Mississippi(10/29/2018)
RR
New Jersey(5/7/2024)
RR
New York(1/5/2021)
RR
North Carolina(10/29/2018)
RR
Ohio(5/7/2024)
RR
Pennsylvania(5/7/2024)
RR
Rhode Island(5/7/2024)
RR
South Carolina(10/29/2018)
RR
Tennessee(5/7/2024)
RR
Texas(5/7/2024)
RR
Virginia(5/7/2024)
RR
Wisconsin(5/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
