Robert J. Mark

ST. JAMES INVESTMENT COMPANY

SOUTHLAKE, TX 76092

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CRD#: 2785947

Professional summary

Robert Joseph Mark JR, who also goes by (jr) Robert Joseph Mark, Robert Joseph Jr Mark, is a registered financial advisor currently at ST. JAMES INVESTMENT COMPANY, LLC located in Southlake, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Robert has worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

(jr) Robert Joseph Mark | Robert Joseph Jr 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.

STOLLENWEG CAPITAL, INVESTMENT RELATED, 535 S. KIMBALL AVE, SUITE 140, SOUTHLAKE, TX 76092, GENERAL PARTNER TO SHEPHERD INVESTMENT HOLDINGS, LP, OWNER, 5/14/24, 40 HRS PER MONTH, 20 HOURS PER MONTH DURING TRADING HOURS, PORTFOLIO MANAGER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Mark JR's CRS (Customer Relationship Summary).

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

January 22, 2004 - Present

ST. JAMES INVESTMENT COMPANY, LLC

Office #1: 535 S. Kimball Ave, Suite 140, Southlake, TX 76092

RIA

CRD#: 124777

SOUTHLAKE, TX

Past

March 29, 2005 - December 31, 2005

LIBERTY ST. JAMES

RIA

CRD#: 133514

DALLAS, TX

Past

April 24, 2001 - April 10, 2002

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 30, 1996 - July 20, 2000

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

ST. JAMES INVESTMENT COMPANY, LLC

ST. JAMES INVESTMENT COMPANY, LLC | ST. JAMES INVESTMENT COMPANY, LLP

CRD#: 124777 / SEC#: 801-61779

RIA

Registered Investment Advisory firm - (2/14/2003 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/22/2004)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/9/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/29/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/30/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/22/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

ST. JAMES INVESTMENT COMPANY, LLC

ST. JAMES INVESTMENT COMPANY, LLC | ST. JAMES INVESTMENT COMPANY, LLP

CRD#: 124777 / SEC#: 801-61779

RIA

Registered Investment Advisory firm - (2/14/2003 Approved)

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Contact information

Main Address

535 S. Kimball Avenue Suite 140, Southlake, TX 76092

Mailing Address

Phone number

(214) 484-7250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAR 2025 ST. JAMES INVESTMENT CO. ADV PART 2A - THE BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,105
AUM (Assets Under Management)	$ 595,194,149

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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Advisor Monitoring

Firm Stability Insights

Robert J. Mark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Mark JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIBERTY ST. JAMES

LEHMAN BROTHERS INC.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

ST. JAMES INVESTMENT COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/9/1999

Series 63

Date: 9/12/1996

Series 3

Date: 9/9/1996

Series 7

Date: 8/29/1996

Series 10

Date: 5/30/2001

Series 9

Date: 5/22/2001

Current Firm

ST. JAMES INVESTMENT COMPANY, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ST. JAMES INVESTMENT COMPANY, LLC

TRUST BUT VERIFY

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