Mark L. Ferris
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 Leslie Ferris, who also goes by Mark L Ferris, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1974. Mark had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 6, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2006 - December 31, 2014
AMERITAS INVESTMENT COMPANY, LLC
June 30, 2006 - December 31, 2014
AMERITAS INVESTMENT COMPANY, LLC
October 5, 2000 - January 13, 2022
WILCOX FINANCIAL, INC.
October 18, 1999 - June 30, 2006
CARILLON INVESTMENTS, INC.
November 15, 1988 - June 30, 2006
CARILLON INVESTMENTS, INC.
June 11, 1987 - August 22, 1997
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
June 13, 1974 - July 20, 1977
ALLSTATE ENTERPRISES MANAGEMENT COMPANY
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 62
Date: 3/8/1989
Corporate Securities Limited Representative ExaminationSeries 1
Date: 6/7/1974
Registered Representative ExaminationCurrent Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
