ME
Mark R. Emberton
LPL ENTERPRISE
Phoenix, AZ 85016
Some features on this profile are disabled
CRD#: 2650846
ME
Professional summary
Mark Radley Emberton, who also goes by Mark Emberton, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Phoenix, Arizona.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Mark has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Emberton
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.
1. 11/14/2024 - Mark Emberton - Real Estate Rental - Incline Village, NV - NOT INV REL - Start Date 01/07/2021 - 0hrs/mth 2. 11/14/2024 - Mark Emberton - Notary - Phoenix, AZ - NOT INV REL - Start Date 06/08/2016 - 0hrs/mth 3. 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s)
CRS (Client Relationship Summary) - RIA
Click below to view Mark Radley Emberton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Radley Emberton'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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 2325 East Camelback Road Suite 100, Phoenix, AZ 85016RIA
BD
CRD#: 8733
Phoenix, AZ
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 2325 East Camelback Road Suite 100, Phoenix, AZ 85016RIA
BD
CRD#: 8733
Phoenix, AZ
Past
May 4, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Phoenix, AZ
Past
May 3, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Phoenix, AZ
Past
August 9, 2012 - May 2, 2023
CREATIVEONE SECURITIES, LLC
RIA
CRD#: 152974
SCOTTSDALE, AZ
Past
August 8, 2012 - May 2, 2023
CREATIVEONE SECURITIES, LLC
BD
CRD#: 152974
SCOTTSDALE, AZ
Past
November 17, 2010 - August 9, 2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
SCOTTSDALE, AZ
Past
November 12, 2010 - August 9, 2012
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
SCOTTSDALE, AZ
Past
December 18, 2006 - December 3, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
SCOTTSDALE, AZ
Past
December 1, 2006 - December 3, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
SCOTTSDALE, AZ
Past
May 30, 2006 - December 4, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
PHOENIX, AZ
Past
March 25, 2004 - December 4, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
PHOENIX, AZ
Past
November 18, 2003 - March 15, 2004
ZIONS DIRECT, INC.
BD
CRD#: 17776
SALT LAKE CITY, UT
Past
December 14, 2000 - August 14, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 13, 2000 - November 25, 2003
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
June 5, 2000 - May 7, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
June 2, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
February 4, 1999 - May 25, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
August 19, 1996 - December 4, 1998
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
June 20, 1996 - August 23, 1996
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Arizona(11/14/2024)
IAR
Arizona(11/14/2024)
RR
California(11/14/2024)
IAR
California(11/14/2024)
RR
Utah(4/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
