Mark T. Baldwin
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 Thomas Baldwin, who also goes by Mark Baldwin, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2008 - December 31, 2012
FRANKLIN DISTRIBUTORS, LLC
December 1, 2005 - December 31, 2006
FRANKLIN DISTRIBUTORS, LLC
September 30, 2003 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
March 18, 2002 - September 30, 2003
HOWARD WEIL INCORPORATED
August 25, 1998 - March 6, 2002
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1997 - August 20, 1998
PAYDEN & RYGEL DISTRIBUTORS
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
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
