Mark A. Upchurch
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 Upchurch, who also goes by Mark Upchurch, 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 65, Series 63, 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
March 1, 2012 - September 21, 2020
CENTAURUS FINANCIAL, INC.
February 29, 2012 - September 21, 2020
CENTAURUS FINANCIAL, INC.
July 19, 2007 - March 9, 2012
BROOKSTONE SECURITIES, INC.
May 2, 2007 - March 9, 2012
BROOKSTONE SECURITIES, INC.
May 18, 2006 - August 15, 2006
HILLTOP SECURITIES INC.
May 16, 2006 - August 15, 2006
HILLTOP SECURITIES INC.
January 17, 2006 - March 23, 2006
CITIGROUP GLOBAL MARKETS INC.
January 17, 2006 - March 23, 2006
CITIGROUP GLOBAL MARKETS INC.
March 1, 1999 - January 17, 2006
CHASE INVESTMENT SERVICES CORP.
March 1, 1999 - January 17, 2006
CHASE INVESTMENT SERVICES CORP.
August 28, 1998 - March 1, 1999
J.P. MORGAN SECURITIES OF TEXAS, INC.
September 24, 1997 - August 31, 1998
NATWEST SECURITIES CORPORATION
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
