Mark A. Kern
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 Anthony Kern was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1997. Mark had worked at 11 firms and has passed the Series 63 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
October 8, 2004 - June 9, 2005
FIRST DUNBAR SECURITIES CORPORATION
July 11, 2003 - May 18, 2004
EASTERN POINT ADVISORS INC.
July 7, 2003 - May 18, 2004
INVESTORS CAPITAL CORP.
January 18, 2002 - July 3, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
January 15, 2002 - July 3, 2003
IDS LIFE INSURANCE COMPANY
January 15, 2002 - July 3, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
October 10, 2001 - October 16, 2001
FIELD LOGAN & CO., LLC
February 5, 1999 - October 21, 1999
DOMINARI SECURITIES LLC
January 4, 1999 - February 18, 1999
MUTUAL SECURITIES, INC.
May 16, 1998 - December 31, 1998
SECURITIES SERVICE NETWORK, LLC
February 9, 1998 - April 7, 1998
MOMENTUM INDEPENDENT NETWORK INC.
June 16, 1997 - February 9, 1998
DUKE & CO., INC.
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
FIRST DUNBAR SECURITIES CORPORATION
CRD#: 17901 / SEC#: , 8-35940
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VPC HOLDINGS, LLC | INVESTOR | |
| BOWERS, RICHARD MICHAEL | PRESIDENT | 1263206 |
| OCCHIPINTI, SAMUEL FRANK | FINOP | |
| SPELLMAN, FRANCIS ROBERT | DIRECTOR |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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