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Mark Ryan Elmore

CRD# 2155971·Registered 1991 - 2021
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Ryan Elmore was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1991 - 2021. Mark had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

35 years in the financial services industry

Current & Past Employments

NATHAN HALE CAPITAL, LLC·CRD# 123650
BD
Carlsbad, CA
March 31, 2003 - December 3, 2021
NATALLIANCE SECURITIES, LLC·CRD# 39455
BD
Austin, TX
November 26, 2001 - April 1, 2003
INTERFIRST CAPITAL CORPORATION·CRD# 7659
BD
Los Angeles, CA
January 6, 2000 - November 26, 2001
LINTZ GLOVER WHITE & COMPANY, INC.·CRD# 22906
BD
Valley Village, CA
January 13, 1998 - December 31, 1999
ALAMO CAPITAL·CRD# 26193
BD
Walnut Creek, CA
April 7, 1997 - November 21, 1997
LPL FINANCIAL LLC·CRD# 6413
BD
Fort Mill, SC
September 22, 1995 - April 4, 1997
MARK TWAIN BROKERAGE SERVICES, INC.·CRD# 16925
BD
May 4, 1994 - July 20, 1995
MARK TWAIN BROKERAGE SERVICES, INC.·CRD# 16925
BD
March 19, 1992 - March 31, 1994
HIBBARD BROWN & CO., INC.·CRD# 18246
BD
New York, NY
August 28, 1991 - September 13, 1991

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Current Firm

NH
NATHAN HALE CAPITAL, LLC

NATHAN HALE CAPITAL, LLC | TAHOE FIXED INCOME, LLC

CRD#: 123650 / SEC#: 8-65603
BD
Terminated by SEC on 01/09/2022

Contact Information

Established

Nevada since 03/18/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GALARPE, GARY CHRISTOPHERCHIEF COMPLIANCE OFFICER/FIN-OP2384835

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1991About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1991About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed May 2005About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Nov 2002About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Feb 1999About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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