Mark S. Buckman
Professional summary
Mark Stephen Buckman is a registered financial advisor currently at FAMILY INVESTMENT MANAGEMENT L.P. located in Carlsbad, California and LPL FINANCIAL LLC located in Carlsbad, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Stephen Buckman's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2014 - Present
FAMILY INVESTMENT MANAGEMENT L.P.
September 19, 2003 - Present
LPL FINANCIAL LLC
September 22, 2003 - October 28, 2015
LPL FINANCIAL LLC
January 11, 2001 - October 2, 2003
UBS FINANCIAL SERVICES INC.
December 15, 2000 - October 2, 2003
UBS FINANCIAL SERVICES INC.
May 19, 1998 - December 22, 2000
MORGAN STANLEY DW INC.
March 2, 1995 - May 5, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 1992 - December 21, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 19, 1989 - November 19, 1992
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/19/2003)
(9/22/2003)
(5/20/2014)
(9/12/2005)
(9/2/2014)
(1/12/2005)
(10/15/2003)
(7/10/2023)
(9/19/2003)
(10/6/2023)
(9/25/2003)
Exams
FINRA
Current Firm
FAMILY INVESTMENT MANAGEMENT L.P.
CRD#: 170281 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 125 |
| AUM (Assets Under Management) | $ 27,873,289 |
Red Flags
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