Mark A. Womack
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 Andrew Womack was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1989. Mark had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2020 - June 30, 2021
MADISON AVENUE SECURITIES, LLC
April 7, 2020 - June 30, 2021
MADISON AVENUE SECURITIES, LLC
June 27, 2008 - May 17, 2018
J. W. COLE ADVISORS, INC.
June 23, 2008 - May 17, 2018
J.W. COLE FINANCIAL, INC.
January 1, 2008 - June 26, 2008
UNITED SECURITIES ALLIANCE, INC.
July 10, 2007 - December 31, 2007
UNITED SECURITIES ALLIANCE, INC.
March 1, 2007 - June 25, 2008
OSAIC WEALTH, INC.
March 1, 2007 - June 25, 2008
OSAIC WEALTH, INC.
January 16, 2004 - March 1, 2007
UNITED SECURITIES ALLIANCE, INC.
January 6, 2004 - March 1, 2007
UNITED SECURITIES ALLIANCE, INC.
September 30, 2003 - December 18, 2003
SAXONY SECURITIES, INC.
November 11, 1997 - September 23, 2003
SECURITIES AMERICA, INC.
July 7, 1995 - August 9, 1996
SECURITIES SERVICE NETWORK, LLC
November 17, 1992 - July 5, 1995
AMERINATIONAL FINANCIAL SERVICES, INC.
November 12, 1991 - December 15, 1992
NORTH AMERICAN MANAGEMENT, INC.
January 16, 1991 - November 14, 1991
CETERA WEALTH SERVICES, LLC
December 1, 1989 - December 31, 1990
PFS INVESTMENTS INC.
February 6, 1989 - July 29, 1989
PFS INVESTMENTS INC.
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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
Current Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
