Mark R. Lumia
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 Lumia, CFP®, ChFC® was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 15 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2001
Experience
December 15, 2021 - June 17, 2025
IFC
March 14, 2017 - December 26, 2019
FINANCIAL GRAVITY ASSET MANAGEMENT, INC.
February 5, 2014 - April 10, 2017
BROOKSTONE WEALTH ADVISORS, LLC
April 11, 2013 - February 4, 2014
GRADIENT ADVISORS, LLC
January 28, 2010 - March 11, 2013
BROOKSTONE CAPITAL MANAGEMENT LLC
January 5, 2010 - March 8, 2013
CENTER STREET SECURITIES, INC.
January 7, 2005 - December 31, 2009
PACKERLAND BROKERAGE SERVICES, INC.
January 5, 2005 - December 31, 2009
PACKERLAND BROKERAGE SERVICES, INC.
August 27, 2002 - November 1, 2004
SPC
August 19, 2002 - November 1, 2004
PARKLAND SECURITIES, LLC
February 5, 2002 - August 8, 2002
ASSET MANAGEMENT SECURITIES CORP.
September 13, 2000 - January 16, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 13, 2000 - January 16, 2002
OSAIC FA, INC.
April 5, 2000 - September 6, 2000
OSAIC FS, INC.
July 28, 1998 - April 20, 2000
KOVACK SECURITIES INC.
March 20, 1996 - August 20, 1998
WMA SECURITIES, INC.
Primary Firm SEC Registration
IFC
CRD#: 283976 / SEC#: 801-133751
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
What does exam status mean?
Series 6
Passed: 3/19/1996
Series 26
Passed: 3/20/1996
Current Firm
IFC
CRD#: 283976 / SEC#: 801-133751
Contact information
SEC notice filing (8 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 1,421 |
| AUM (Assets Under Management) | $ 173,456,003 |
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.
