Mark L. Abbott

STONEX SECURITIES

Wilton, NH 03086

Some features on this profile are disabled

CRD#: 3059081

Professional summary

Mark Lawrence Abbott, AIF® is a registered financial professional currently at STONEX SECURITIES INC. located in Wilton, New Hampshire.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Lawrence Abbott's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 30, 2024 - Present

STONEX SECURITIES INC.

Office #1: 136 Pead Hill Rd, Wilton, NH 03086

CRD#: 18456

Wilton, NH

Past

February 3, 2014 - September 23, 2024

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Wilton, NH

Past

February 1, 2003 - February 4, 2014

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

NEEDHAM, MA

Past

January 30, 2002 - February 1, 2003

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Past

June 11, 1998 - November 20, 2001

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/30/2024)

Florida
(9/30/2024)

Maine
(9/30/2024)

Maryland
(9/30/2024)

Massachusetts
(10/2/2024)

Minnesota
(9/30/2024)

New Hampshire
(9/30/2024)

Tennessee
(9/30/2024)

Texas
(9/30/2024)

Exams

State Security Law Exam

Series 63

Date: 4/29/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/19/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

STONEX SECURITIES INC.

CRD#: 18456 / SEC#: , 8-36638

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Mailing Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Phone number

(800) 292-2411

Established

Delaware since 01/22/2002

Firm type

Corporation

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STONEX GROUP INC.	100% OWNER
BOLTE, DAVID ALBERT	SECRETARY	2711410
CARTER, JAY WILSON	PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR	2412541
DAVISON, STUART ANDREW	DIRECTOR	7824576
DUNAWAY, WILLIAM JOHN	DIRECTOR	6505923
HUGO, MARK ERIC	POO	2177412
LYON, CHARLES MARTIN	DIRECTOR	4000852
MAURER, MARK L	DIRECTOR	4234406
MCAUSLAN, JAMES BUCHANAN	DIRECTOR	7658964
PARKER, BRIAN LANE	CHIEF COMPLIANCE OFFICER, ROSFP	4635848
PORZIO, JOSEPH JOHN	CFO / PFO / FINOP	1319702
RICHARDSON, MARCUS BRYANT	CHIEF OPERATING OFFICER	3037932
SMITH, PHILIP ANDREW	DIRECTOR, CHAIRMAN OF THE BOARD	4999097

Disclosures

Regulatory Event	9
Arbitration	4

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.

Similar Advisors

Jesse Woods

OSAIC WEALTH, INC.

IAR

MERIDIAN, ID

Brent Ross

LPL FINANCIAL LLC

IAR

Gig Harbor, WA

Sarah Soria

PROSPERITY CAPITAL ADVISORS

IAR

Grass Valley, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark L. Abbott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Lawrence Abbott's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

AGES FINANCIAL SERVICES, LTD.

TRANSAMERICA INVESTORS SECURITIES, LLC

TRANSAMERICA SECURITIES SALES CORPORATION

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/1999

SIE

Date: 10/1/2018

Series 6

Date: 5/19/1998

FINRA

Current Firm

STONEX SECURITIES INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STONEX SECURITIES INC.

TRUST BUT VERIFY

Similar Advisors