Mark A. Fein
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 Allen Fein was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2016 - February 13, 2018
LEAR INVESTMENT MANAGEMENT
November 3, 2015 - April 19, 2016
LEAR INVESTMENT MANAGEMENT
June 17, 2005 - January 21, 2016
AURIA SERVICES CORP.
January 20, 2004 - November 19, 2004
BLAYLOCK & COMPANY, INC.
January 6, 2003 - October 10, 2003
MORGAN JOSEPH TRIARTISAN LLC
January 2, 2002 - January 2, 2003
LIBRA SECURITIES, LLC
January 4, 1999 - December 31, 2001
U.S. BANCORP INVESTMENTS, INC.
October 16, 1997 - January 4, 1999
LIBRA INVESTMENTS, INC.
Primary Firm SEC Registration
LEAR INVESTMENT MANAGEMENT
CRD#: 174119 / SEC#: 801-110851
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
Current Firm
LEAR INVESTMENT MANAGEMENT
CRD#: 174119 / SEC#: 801-110851
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 305 |
| AUM (Assets Under Management) | $ 805,713,943 |
Red Flags
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