Mark T. Hendrix

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CRD#: 3148927

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 Hendrix was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1998. Mark had worked at 5 firms and has passed the Series 65, Series 63 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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

June 16, 2022 - January 13, 2026

JOULE FINANCIAL, LLC

RIA

CRD#: 320791

LEXINGTON, KY

Past

May 5, 2014 - June 29, 2022

JOULE FINANCIAL

RIA

CRD#: 133783

LEXINGTON, KY

Past

September 21, 2007 - June 3, 2014

EDC FINANCIAL SERVICES, LLC

RIA

CRD#: 139658

NICHOLASVILLE, KY

Past

July 30, 2004 - February 15, 2006

KOVACK SECURITIES INC.

RIA

CRD#: 44848

LEXINGTON, KY

Past

July 2, 2004 - February 15, 2006

KOVACK SECURITIES INC.

CRD#: 44848

FT. LAUDERDALE, FL

Past

December 18, 1998 - June 28, 2004

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

JOULE FINANCIAL, LLC

CRD#: 320791 / SEC#: 801-125024

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/25/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/24/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JOULE FINANCIAL, LLC

CRD#: 320791 / SEC#: 801-125024

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

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Contact information

Main Address

998 Governors Ln Suite 325, Lexington, KY 40513

Mailing Address

Phone number

(859) 881-0777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	2,065
AUM (Assets Under Management)	$ 411,243,415

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.

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Advisor Monitoring

Firm Stability Insights

Mark T. Hendrix

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JOULE FINANCIAL

EDC FINANCIAL SERVICES, LLC

KOVACK SECURITIES INC.

KOVACK SECURITIES INC.

THE O.N. EQUITY SALES COMPANY

Primary Firm SEC Registration

JOULE FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/25/2004

Series 63

Date: 1/22/1999

Series 6

Date: 11/24/1998

Current Firm

JOULE FINANCIAL, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOULE FINANCIAL, LLC

TRUST BUT VERIFY

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