Mark B. Turner
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 Bryan Turner, who also goes by Mark B Turner, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 14 firms and has passed the Series 63, Series 7 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
August 23, 2013 - January 31, 2014
WOODSTOCK FINANCIAL GROUP, INC.
November 9, 2009 - September 5, 2013
HUNTER SCOTT FINANCIAL LLC.
March 3, 2009 - November 12, 2009
MAXIM GROUP LLC
January 14, 2008 - March 9, 2009
MERCER CAPITAL LTD.
April 12, 2007 - February 13, 2008
NETWORK 1 FINANCIAL SECURITIES INC.
November 7, 2006 - April 2, 2007
EMMETT A LARKIN COMPANY, INC.
July 9, 2004 - October 20, 2006
HUNTER SCOTT FINANCIAL LLC.
August 14, 2001 - June 23, 2004
LH ROSS & COMPANY, INC.
November 21, 2000 - August 31, 2001
SALOMON GREY FINANCIAL CORPORATION
October 26, 1998 - November 15, 2000
BARRON CHASE SECURITIES, INC.
August 12, 1997 - August 18, 1998
J.P. TURNER & COMPANY, L.L.C.
October 11, 1996 - August 12, 1997
ARGENT SECURITIES, INC.
October 27, 1994 - October 14, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 26, 1994 - September 30, 1994
JOSEPH CHARLES & ASSOC., INC.
May 17, 1994 - June 8, 1994
BARRON CHASE SECURITIES, INC.
April 6, 1994 - May 19, 1994
ROBERT TODD FINANCIAL CORP.
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
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
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.
