Mark A. Tudor

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CRD#: 2842516

Professional summary

Mark Andrew Tudor was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Mark had worked at 8 firms, which includes COLLABORATIVE WEALTH, RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., RAYMOND JAMES & ASSOCIATES INC., MORGAN KEEGAN & COMPANY LLC, WELLS FARGO CLEARING SERVICES LLC, FIRST UNION BROKERAGE SERVICES INC., CHATFIELD DEAN & CO. INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 31, 2018 - July 11, 2019

COLLABORATIVE WEALTH

RIA

CRD#: 142106

Lake Mary, FL

Past

July 14, 2014 - October 31, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

LAKE MARY, FL

Past

June 13, 2014 - October 31, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LAKE MARY, FL

Past

February 13, 2013 - June 17, 2014

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

WINTER PARK, FL

Past

February 13, 2013 - June 17, 2014

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

WINTER PARK, FL

Past

March 30, 2009 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

WINTER PARK, FL

Past

March 13, 2009 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

WINTER PARK, FL

Past

October 1, 2000 - March 17, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ORLANDO, FL

Past

October 1, 2000 - March 17, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ORLANDO, FL

Past

December 19, 1997 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

January 17, 1997 - October 20, 1997

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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".

COLLABORATIVE WEALTH

CRD#: 142106 / SEC#: 801-80100

RIA

Registered Investment Advisory firm - (8/6/2014 Approved)

Indiana

Registered Investment Advisory firm - (12/23/2008 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/12/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/17/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/10/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/3/2015

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/24/2014

General Securities Sales Supervisor - Options Module Examination

Current Firm

COLLABORATIVE WEALTH

CRD#: 142106 / SEC#: 801-80100

RIA

Registered Investment Advisory firm - (8/6/2014 Approved)

Indiana

Registered Investment Advisory firm - (12/23/2008 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2014 Terminated)

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Contact information

Main Address

972 International Parkway, Lake Mary, FL 32746

Mailing Address

Phone number

(407) 792-3336

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COLLABORATIVE WEALTH ADV PART 2A (1/29/2025)

Regulatory assets under management

Total Number of Accounts	1,810
AUM (Assets Under Management)	$ 564,031,327

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

Mark A. Tudor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

COLLABORATIVE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/1998

Series 63

Date: 1/16/1997

SIE

Date: 10/1/2018

Series 31

Date: 11/17/2004

Series 7

Date: 1/10/1997

Series 10

Date: 6/3/2015

Series 9

Date: 12/24/2014

Current Firm

COLLABORATIVE WEALTH

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLLABORATIVE WEALTH

TRUST BUT VERIFY

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