Mark L. Lavine
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 Leslie Lavine was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1968. Mark had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2009 - February 10, 2012
J.P. TURNER & COMPANY, L.L.C.
January 27, 1998 - March 31, 2009
CINCINNATI ANALYSTS, INC.
August 12, 1997 - March 31, 2009
CINCINNATI ANALYSTS, INC.
January 3, 1991 - August 13, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 31, 1989 - February 22, 1991
IDS LIFE INSURANCE COMPANY
July 31, 1989 - February 22, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
April 22, 1988 - January 3, 1991
MUTUAL SERVICE CORPORATION
February 27, 1982 - December 18, 1984
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 20, 1979 - August 10, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 7, 1968 - October 10, 1979
TRANSAMERICA FINANCIAL ADVISORS, 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
Series 1
Date: 5/2/1968
Registered Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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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