Mark M. Purcell
Professional summary
Mark Moore Purcell is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Jamaica Plain, Massachusetts.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Moore Purcell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Moore Purcell's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 11, 2020 - Present
PRINCIPAL SECURITIES, INC.
July 20, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392November 2, 2018 - March 30, 2020
OSAIC WEALTH, INC.
November 2, 2018 - March 30, 2020
OSAIC WEALTH, INC.
November 1, 2013 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
April 21, 2011 - November 2, 2018
SIGNATOR INVESTORS, INC.
April 21, 2011 - November 2, 2018
SIGNATOR INVESTORS, INC.
February 17, 2010 - April 13, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 13, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 22, 2004 - September 5, 2006
COMMONWEALTH FINANCIAL NETWORK
February 13, 2001 - January 24, 2003
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 4, 1999 - September 12, 2000
JOHN HANCOCK DISTRIBUTORS LLC
May 14, 1998 - March 30, 1999
MANUFACTURERS SECURITIES SERVICES, LLC
May 10, 1989 - September 23, 1992
AMUNDI DISTRIBUTOR US, INC.
March 9, 1989 - May 10, 1989
THE PIONEER GROUP, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/20/2020)
(8/5/2020)
(8/11/2020)
Exams
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
