Stephen P. Mark

SPM ADVISORS

San Francisco, CA

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CRD#: 2518425

Professional summary

Stephen Philip Mark, who also goes by Steve Mark, is a registered financial advisor currently at SPM ADVISORS, LLC located in San Francisco, California and EMERSON EQUITY LLC located in San Mateo, California.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 5 firms and has passed the Series 63, Series 65, Series 79TO, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Mark

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.

SPM ADVISORS, LLC - INVESTMENT RELATED; REGISTERED INVESTMENT ADVISOR; 1695 NORTH POINT STREET #101, SAN FRANCISCO, CA 94123. MANAGING MEMBER. INDEPENDENT CONSULTANT DBA STEPHEN P. MARK & ASSOCIATES - NON INVESTMENT RELATED; ENTERTAINMENT EVENT CONSULTING. 1695 NORTH POINT STREET, #101, SAN FRANCISCO, CA 94123.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Philip Mark's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 4, 2007 - Present

SPM ADVISORS, LLC

RIA

CRD#: 143775

San Francisco, CA

Current

June 19, 2019 - Present

EMERSON EQUITY LLC

Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402

RIA

CRD#: 130032

SAN MATEO, CA

Past

September 27, 2004 - October 11, 2005

THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES

CRD#: 40868

REDLANDS, CA

Past

December 14, 2000 - October 8, 2002

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

January 5, 2000 - December 18, 2000

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(10/4/2007)

California
(7/22/2019)

Colorado
(12/3/2024)

Massachusetts
(11/13/2024)

Minnesota
(8/7/2025)

Missouri
(5/30/2025)

New York
(8/5/2025)

North Carolina
(7/14/2025)

Oregon
(1/30/2025)

South Carolina
(7/8/2025)

Virginia
(1/5/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/19/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/27/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 11/26/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 3/3/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/2/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SPM ADVISORS, LLC

CRD#: 143775 / SEC#:

California

Registered Investment Advisory firm - (10/4/2007 Approved)

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Contact information

Main Address

San Francisco, CA

Mailing Address

1695 North Point Street, #101, San Francisco, CA 94123

Phone number

(415) 699-4189

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

Stephen P. Mark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Philip Mark's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES

BANC OF AMERICA SECURITIES LLC

HOULIHAN LOKEY CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/2019

Series 65

Date: 8/27/2007

Series 79TO

Date: 11/26/2019

Series 7

Date: 3/3/1999

Series 24

Date: 7/2/2019

FINRA

Current Firm

SPM ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

SPM ADVISORS, LLC

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