Mark R. Palmer
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 Richard Palmer was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 16 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 86, Series 87, Series 55, Series 3, Series 7, Series 10, Series 9, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2018 - June 21, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
July 24, 2018 - June 21, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
October 3, 2014 - January 23, 2017
MORGAN STANLEY
September 29, 2014 - January 23, 2017
MORGAN STANLEY
July 27, 2007 - March 6, 2014
NEWFLEET ASSET MANAGEMENT, LLC
June 21, 2007 - March 27, 2013
VP DISTRIBUTORS LLC
May 2, 2007 - December 31, 2007
PXP SECURITIES CORP.
March 1, 2005 - May 1, 2007
MERRIMAN CAPITAL, INC.
September 3, 2003 - April 13, 2005
HOEFER & ARNETT, INCORPORATED
January 13, 2001 - September 2, 2003
DEUTSCHE BANK SECURITIES INC.
November 20, 2000 - January 13, 2001
DB ALEX. BROWN LLC
January 30, 2000 - November 29, 2000
CHARLES SCHWAB & CO., INC.
April 1, 1996 - November 12, 1999
U.S. BANCORP ADVISORS, LLC
July 21, 1994 - April 1, 1996
BANCAL INVESTMENT SERVICES, INC.
May 17, 1994 - July 26, 1994
M.ONE INVESTMENT SECURITIES, INC.
December 2, 1993 - July 1, 1994
WESTERN SELECT SECURITIES, INC.
August 28, 1993 - January 31, 1994
EXPANSION CAPITAL SECURITIES
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 12/22/2003
Limited Representative-Equity Trader ExamCurrent Firm
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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