Mark W. Raque
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 William Raque was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 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
October 31, 2024 - November 14, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 7, 2016 - December 23, 2020
FIFTH THIRD SECURITIES, INC.
April 7, 2016 - December 23, 2020
FIFTH THIRD SECURITIES, INC.
December 20, 2010 - March 22, 2016
PNC WEALTH MANAGEMENT LLC
December 20, 2010 - March 22, 2016
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - December 31, 2009
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - December 31, 2009
PNC WEALTH MANAGEMENT LLC
January 5, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
January 5, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
July 25, 2003 - December 31, 2005
LPL FINANCIAL LLC
July 25, 2003 - December 31, 2005
LPL FINANCIAL LLC
July 25, 1997 - August 1, 2003
J.J.B. HILLIARD, W.L. LYONS, 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 7TO
Date: 3/15/2024
General Securities Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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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