Mark E. Nemes
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 Edward Nemes, who also goes by Mark E Nemes, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2018 - June 4, 2019
LIFEMARK SECURITIES CORP.
November 13, 2014 - October 29, 2018
FORESTERS EQUITY SERVICES, INC.
January 22, 2010 - October 31, 2014
SUNSET FINANCIAL SERVICES, INC.
February 9, 2002 - November 9, 2009
PARKLAND SECURITIES, LLC
June 5, 2000 - February 9, 2002
WALNUT STREET SECURITIES, INC.
January 31, 2000 - June 2, 2000
VESTAX SECURITIES CORPORATION
April 28, 1997 - January 28, 2000
SII INVESTMENTS, INC.
September 19, 1994 - April 17, 1995
FIDELITY EQUITY SERVICES CORPORATION
February 4, 1993 - April 25, 1997
MARINER FINANCIAL SERVICES, INC.
May 22, 1986 - February 18, 1993
FIDELITY EQUITY SERVICES CORPORATION
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
Current Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
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.
