Mark A. Townsend
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 Allen Townsend was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 12 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 6, Series 26, Series 4, Series 53, Series 27 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
Experience
January 25, 2021 - December 15, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
April 12, 2017 - December 31, 2020
CROWN CAPITAL SECURITIES, L.P.
April 15, 2015 - December 31, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 27, 2012 - September 27, 2013
VERITRUST FINANCIAL, LLC
June 20, 2012 - September 27, 2013
VERITRUST FINANCIAL, LLC
December 1, 2005 - November 28, 2006
BURCH & COMPANY, INC
June 15, 2005 - July 9, 2010
SCF SECURITIES, INC.
February 4, 2003 - July 9, 2010
SCF INVESTMENT ADVISORS, INC.
October 28, 1999 - July 9, 2010
SCF SECURITIES, INC.
October 15, 1997 - November 18, 1999
WALL STREET FINANCIAL GROUP, INC.
October 13, 1995 - February 6, 1997
CENTAURUS FINANCIAL, INC.
March 12, 1992 - October 9, 1995
NORTH AMERICAN MANAGEMENT, INC.
January 14, 1992 - March 7, 1992
AMERICAN CLASSIC SECURITIES, INC.
January 28, 1991 - December 19, 1991
NORTH AMERICAN MANAGEMENT, INC.
February 14, 1986 - December 31, 1990
PFS INVESTMENTS INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
