Mark E. Metcalf
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 Edwin Metcalf was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2013 - January 3, 2020
MERRIMAN
March 30, 2006 - January 16, 2013
MERRIMAN, LLC
April 19, 2004 - March 23, 2006
UST SECURITIES CORP.
February 11, 2000 - January 21, 2003
CHARLES SCHWAB & CO., INC.
November 12, 1991 - January 21, 2003
CHARLES SCHWAB & CO., INC.
February 20, 1991 - October 22, 1991
WAMU INVESTMENTS, INC.
March 27, 1987 - February 20, 1991
CHARLES SCHWAB & CO., INC.
August 21, 1986 - March 25, 1987
WADDELL & REED
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 8
Date: 12/1/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRIMAN
CRD#: 166580 / SEC#: 801-77544
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,370 |
| AUM (Assets Under Management) | $ 3,605,822,320 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/07/2023 |
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.
