Mark R. Tessneer
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 Robbin Tessneer was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1990. Mark had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2015 - April 10, 2018
LPL FINANCIAL LLC
January 30, 2015 - April 10, 2018
LPL FINANCIAL LLC
May 12, 2014 - February 5, 2015
MSI FINANCIAL SERVICES, INC.
January 22, 2014 - February 5, 2015
MSI FINANCIAL SERVICES, INC.
February 25, 2013 - January 8, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 20, 2013 - January 8, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 9, 2006 - July 3, 2012
EDWARD JONES
January 4, 2006 - July 3, 2012
EDWARD JONES
November 12, 2003 - January 6, 2006
USALLIANZ SECURITIES, INC.
November 10, 2003 - January 6, 2006
USALLIANZ SECURITIES, INC.
January 2, 2002 - November 12, 2003
BRECEK & YOUNG ADVISORS, INC.
March 26, 2001 - November 12, 2003
BRECEK & YOUNG ADVISORS, INC.
June 11, 1999 - March 6, 2001
DONAHUE SECURITIES, INC.
June 25, 1998 - June 21, 1999
WESTMINSTER FINANCIAL SECURITIES, INC.
August 29, 1990 - October 7, 1997
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
