Mark S. Schon

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CRD#: 1882457

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 Steven Schon, CIMA® was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 9 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Past

January 24, 2018 - July 22, 2019

L & S ADVISORS, INC

RIA

CRD#: 140923

Phoenix, AZ

Past

July 29, 2015 - July 6, 2016

L & S ADVISORS, INC

RIA

CRD#: 140923

SCOTTSDALE, AZ

Past

June 15, 2010 - July 18, 2013

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546

DENVER, CO

Past

January 1, 2010 - June 5, 2010

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

June 5, 2002 - January 1, 2010

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA

CRD#: 109264

HOUSTON, TX

Past

June 27, 1997 - June 5, 2010

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

December 20, 1996 - June 17, 1997

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

February 17, 1994 - December 18, 1996

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

December 7, 1989 - March 1, 1994

TCC SECURITIES CORPORATION

CRD#: 20842

SAN FRANCISCO, CA

Past

October 7, 1988 - March 20, 1989

CIS INVESTMENT CORPORATION

CRD#: 16503

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".

L & S ADVISORS, INC

CRD#: 140923 / SEC#: 801-66849

RIA

Registered Investment Advisory firm - (6/5/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/16/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/4/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/23/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/30/1994

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/5/1988

Direct Participation Programs Representative Examination

Current Firm

L & S ADVISORS, INC

CRD#: 140923 / SEC#: 801-66849

RIA

Registered Investment Advisory firm - (6/5/2006 Approved)

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Contact information

Main Address

11766 Wilshire Blvd Suite 845, Los Angeles, CA 90025

Mailing Address

Phone number

(310) 893-6060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

L & S ADVISORS FORM ADV PART 2A & 2B (6/23/2025)

Regulatory assets under management

Total Number of Accounts	1,691
AUM (Assets Under Management)	$ 1,052,549,765

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.

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Advisor Monitoring

Firm Stability Insights

Mark S. Schon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

L & S ADVISORS, INC

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

INVESCO ADVISERS, INC.

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

INVESCO DISTRIBUTORS, INC.

VOYA INVESTMENTS DISTRIBUTOR, LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

TCC SECURITIES CORPORATION

CIS INVESTMENT CORPORATION

Primary Firm SEC Registration

L & S ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/2015

Series 66

Date: 1/4/2002

Series 63

Date: 11/23/1988

Series 7

Date: 3/30/1994

Series 22

Date: 10/5/1988

Current Firm

L & S ADVISORS, INC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

L & S ADVISORS, INC

TRUST BUT VERIFY

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