Mark E. Ferlin

LPL ENTERPRISE

JACKSONVILLE, FL 32256

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CRD#: 1984097

Professional summary

Mark Edward Ferlin, who also goes by Mark Edward Ferlin, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Jacksonville, Florida.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark Edward Ferlin

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) - BD

Click below to view Mark Edward Ferlin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 7751 Belfort Pkwy Suite 240, Jacksonville, FL 32256Office #2: 701 San Marco Blvd Suite 7100, Jacksonville, FL 32207

RIA

CRD#: 8733

JACKSONVILLE, FL

Past

February 6, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Jacksonville, FL

Past

February 26, 2020 - December 19, 2022

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

JACKSONVILLE, FL

Past

March 25, 2017 - December 23, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

JACKSONVILLE, FL

Past

December 18, 2008 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

JACKSONVILLE, FL

Past

May 4, 2006 - December 23, 2008

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

JACKSONVILLE, FL

Past

August 27, 1999 - April 20, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

JACKSONVILLE, FL

Past

August 27, 1999 - April 20, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

JACKSONVILLE, FL

Past

November 4, 1997 - April 13, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

July 13, 1995 - October 21, 1997

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

September 7, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

September 7, 1989 - April 6, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/18/2024)

Georgia
(11/14/2024)

North Carolina
(11/14/2024)

South Carolina
(11/14/2024)

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

Series 63

Date: 10/29/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/6/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/11/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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 E. Ferlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Edward Ferlin's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

AMERITAS INVESTMENT COMPANY, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

NYLIFE SECURITIES LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/29/1992

SIE

Date: 10/1/2018

Series 6

Date: 9/6/1989

Series 26

Date: 12/11/1997

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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