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Mark Alan Fried

CRD# 1441518·Registered 1985 - 2019
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Alan Fried was a registered financial advisor. Mark was a previously registered financial advisor and started their career in finance 1985 - 2019. Mark had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

IFS SECURITIES·CRD# 40375
BD
Atlanta, GA
March 19, 2014 - June 28, 2019
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC·CRD# 124446
RIA
Boca Raton, FL
February 1, 2012 - March 20, 2014
J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Boca Raton, FL
March 25, 2010 - March 20, 2014
GUNNALLEN FINANCIAL, INC·CRD# 17609
RIA
Boca Raton, FL
August 11, 2008 - March 29, 2010
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Boca Raton, FL
May 19, 2003 - March 29, 2010
KIRLIN SECURITIES INC.·CRD# 21210
BD
Syosset, NY
April 9, 2002 - June 2, 2003
SANDS BROTHERS & CO., LTD.·CRD# 26816
BD
New York, NY
November 27, 2001 - April 25, 2002
BLUESTONE CAPITAL CORP.·CRD# 13516
BD
New York, NY
February 5, 2001 - November 26, 2001
SSI SECURITIES CORP.·CRD# 8275
BD
Boca Raton, FL
November 10, 2000 - February 5, 2001
GKN SECURITIES CORP.·CRD# 19415
BD
New York, NY
October 23, 1991 - January 2, 2001
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
May 22, 1989 - October 9, 1991
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
January 25, 1989 - May 22, 1989
THOMSON MCKINNON SECURITIES INC.·CRD# 829
BD
New York, NY
January 26, 1988 - February 25, 1989
LEHMAN BROTHERS INC.·CRD# 7506
BD
December 17, 1985 - February 1, 1988

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Current Firm

IS
IFS SECURITIES

ALZAID FINANCIAL SERVICES, INC. | INTERNATIONAL FINANCIAL SOLUTIONS, INC. | IFS SECURITIES, INC | IFS SECURITIES | IFS EQUITY | IFS CAPITAL MARKETS | IFS ADVISORY, LLC

CRD#: 40375 / SEC#: 8-49020
BD
Terminated by SEC on 02/28/2020

Contact Information

Established

Pennsylvania since 09/21/1993

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
IFS GROUP, INC.FOREIGN ENTITY/DIRECT OWNER—
MCKENZIE, ALEXYS ULANDOCEO/OWNER2642827
SADLER, JOQUINN THOMASCHIEF COMPLIANCE OFFICER / CHIEF OPERATIONS OFFICER2817763

Disclosures

Regulatory Event

3

Arbitration

1

Financial

1

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Aug 2008About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1986About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1985About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Nov 1998About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jun 1998About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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