Mark R. Fraker
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 Richardson Fraker, who also goes by Mark R Frakek, Mark Richardson Franker, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86, Series 55, Series 3, Series 7, Series 53 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
February 13, 2015 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
July 26, 1999 - September 15, 2014
ISI CAPITAL, LLC
June 29, 1998 - December 8, 1999
SOUTHPORT SECURITIES, LLC
November 29, 1995 - June 24, 1998
STIRES & CO., INC.
March 10, 1992 - November 29, 1993
CRT CAPITAL GROUP LLC
March 26, 1990 - April 3, 1992
ACCESS SECURITIES, LLC
September 25, 1989 - March 1, 1990
WHITEHILL CAPITAL, INC.
August 8, 1989 - September 28, 1989
MABON, NUGENT & CO.
August 26, 1987 - July 18, 1988
CITICORP SECURITIES, 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 55
Date: 12/4/2001
Limited Representative-Equity Trader ExamCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| 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.
