Alphonso Houston

LIFEMARK SECURITIES

Mitchellville, MD 20721

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CRD#: 1479587

Professional summary

Alphonso Houston is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Mitchellville, Maryland.

Alphonso is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Alphonso has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Use DBA of AHW ADVISORS independent insurance agent, investment related, 3208 SPRIGGS REQUEST WAY,MITCHELLVILLE, MD 20721, began 6/2014, sales and service of life, health and annuities,

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alphonso Houston's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Alphonso Houston's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 3, 2014 - Present

LIFEMARK SECURITIES CORP.

Office #1: 3208 Spriggs Request Way, Mitchellville, MD 20721

RIA

CRD#: 16204

Mitchellville, MD

Current

June 13, 2013 - Present

LIFEMARK SECURITIES CORP.

Office #1: 3208 Spriggs Request Way, Mitchellville, MD 20721

RIA

CRD#: 16204

Mitchellville, MD

Past

August 20, 2007 - December 31, 2011

AHW ADVISORS

RIA

CRD#: 136721

MITCHELLVILLE, MD

Past

August 13, 2007 - May 10, 2013

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

MITCHEVILLE, MD

Past

January 24, 2005 - May 10, 2013

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

MITCHELLVILLE, MD

Past

November 19, 2003 - December 9, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

WASHINGTON, DC

Past

November 19, 2003 - December 9, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

July 16, 2003 - November 24, 2003

RIGGS SECURITIES INC.

RIA

CRD#: 46202

WASHINGTON, DC

Past

July 16, 2003 - November 19, 2003

RIGGS SECURITIES INC.

CRD#: 46202

WASHINGTON, DC

Past

July 23, 2001 - June 3, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LARGO, MD

Past

December 22, 2000 - June 3, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 1, 1988 - January 3, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 25, 1987 - September 12, 1988

ESSEX FINANCIAL SERVICES, INC.

CRD#: 19627

Past

October 27, 1987 - December 8, 1987

ESSEX COMPANY

CRD#: 7598

Past

April 23, 1986 - May 13, 1987

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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".

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)

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.

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

District of Columbia
(6/13/2013)

Florida
(11/3/2022)

Maryland
(6/13/2013)

IAR

Maryland
(1/3/2014)

New York
(6/13/2013)

North Carolina
(2/9/2022)

Ohio
(6/13/2013)

South Carolina
(5/16/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2A (3/28/2025)

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Alphonso Houston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alphonso Houston's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Alphonso Houston's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFEMARK SECURITIES CORP.

AHW ADVISORS

PKS ADVISORY SERVICES, LLC

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RIGGS SECURITIES INC.

RIGGS SECURITIES INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

ESSEX FINANCIAL SERVICES, INC.

ESSEX COMPANY

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

LIFEMARK SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/22/1999

Series 63

Date: 5/9/1986

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1986

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LIFEMARK SECURITIES CORP.

TRUST BUT VERIFY

Contact information

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