Mark R. Perry
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 Perry was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, Series 7TO, Series 6TO, SIE, Series 7, Series 6 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
July 27, 2021 - November 15, 2023
LOWELL BLAKE & ASSOCIATES INC.
March 24, 2021 - June 22, 2021
B. RILEY WEALTH ADVISORS, INC.
March 23, 2021 - June 22, 2021
NATIONAL SECURITIES CORPORATION
January 5, 2018 - June 7, 2021
WINSLOW WEALTH MANAGEMENT LLC
April 25, 2017 - April 13, 2021
WINSLOW, EVANS & CROCKER, INC.
September 10, 2001 - June 7, 2021
WINSLOW, EVANS & CROCKER, INC.
November 6, 1996 - August 28, 2001
IDS LIFE INSURANCE COMPANY
November 6, 1996 - August 28, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
June 25, 1996 - September 30, 1996
PRUCO SECURITIES, LLC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 11/4/2022
General Securities Representative ExaminationSeries 6TO
Date: 11/4/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LOWELL BLAKE & ASSOCIATES INC.
CRD#: 105127 / SEC#: 801-9892
Contact information
Regulatory assets under management
| Total Number of Accounts | 432 |
| AUM (Assets Under Management) | $ 596,558,143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/10/2023 |
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.
