Mark A. Ross
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 Anthony Ross was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2009 - December 31, 2013
PLANNED ADVISORS, LLC
January 10, 2008 - June 5, 2008
NEXT FINANCIAL GROUP, INC.
May 22, 2002 - February 13, 2006
AMHERST SECURITIES GROUP, L.P.
November 1, 2000 - June 5, 2002
RAYMOND JAMES & ASSOCIATES, INC.
July 3, 1997 - November 6, 2000
WACHOVIA SECURITIES, INC.
August 29, 1996 - July 11, 1997
BANC OF AMERICA SECURITIES LLC
October 5, 1994 - August 8, 1996
BANC OF AMERICA SECURITIES LLC
March 20, 1992 - October 13, 1994
WELLS FARGO CLEARING SERVICES, LLC
January 31, 1992 - March 30, 1992
COASTAL SECURITIES, INC.
September 4, 1990 - February 21, 1992
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
December 20, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
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 8
Date: 10/27/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PLANNED ADVISORS, LLC
CRD#: 146837 / SEC#:
Contact information
Red Flags
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