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Mark M. Mercier

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CRD#: 1884246
MM

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 M Mercier, who also goes by Mark M. Mercier, Mark Mather Mercier, Mark Mercier, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1989. Mark had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark M. Mercier | Mark Mather Mercier | Mark Mercier

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®
None

Experience

Past

August 22, 2017 - April 24, 2018

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

BD
CRD#: 8478
INDIANAPOLIS, IN
Past

January 29, 2009 - July 15, 2010

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
TAMPA, FL
Past

May 19, 2008 - December 9, 2008

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
LAKELAND, FL
Past

March 30, 2006 - May 14, 2008

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
TAMPA, FL
Past

November 7, 2005 - February 22, 2006

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
TAMPA, FL
Past

August 28, 2003 - August 11, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

July 1, 2003 - August 25, 2003

AMUNI FINANCIAL, INC.

BD
CRD#: 8365
ST. PETERSBURG, FL
Past

June 6, 2000 - January 8, 2002

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

April 12, 1999 - June 1, 2000

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX
Past

February 16, 1990 - April 13, 1999

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
TAMPA, FL
Past

October 25, 1989 - February 27, 1990

JONATHAN ALAN & CO., INC.

BD
CRD#: 15914

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.

Exams

State Security Law Exam
RR
Series 63
Date: 9/19/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/19/1995
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/9/1993
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/9/1993
General Securities Principal Examination

Current Firm

TS
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | TRILOGY WEALTH MANAGEMENT | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. INSURANCE AGENCY | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | THURSTON, SPRINGER, MILLER & HERD, INC. | THURSTON, SHUMAKER, MILLER & BURKE, INCORPORATED | THURSTON, MILLER & BURKE, INC. | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | SPRAWLS FINANCIAL | SPENCER FINANCIAL STRATEGIES | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | LIBERTY CONSULTING | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | DAMER WEALTH MANAGEMENT | CRAVENS, LLC | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BAYLEY INVESTMENT GROUP | BALDASSARI ADVISORY | AMERICAN PENSION ADVISORS

CRD#: 8478 / SEC#: 801-63564, 8-25452

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240
Mailing Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240-2142
Phone number
(317) 581-4000
Established
Indiana since 09/12/1980
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
FINANCIAL SERVICES HOLDINGS, LLCSOLE SHAREHOLDER
COKER, KAREN LE'ELLENCHIEF RISK OFFICER2731928
MUELLER, CHRISTOPHER BRIANCHIEF OPERATIONS OFFICER2098597
PARKER, RICHARD WILSONCEO5497397
REYNOLDS, MATTHEW MARKPRESIDENT / FINOP / PFO / POO/CCO4077413
RUDNICK, REGINA MARYHEAD OF ADVISOR SERVICES2373530
TAYLOR, CHRISTIAN GABRIELCHIEF COMPLIANCE OFFICER5462381
TITAK, JAMES JOHNCHAIRMAN OF THE BOARD1008441

Disclosures

Regulatory Event3

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.

Company Information

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

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