MM
Mark L. Macleod
RM FINANCIAL SERVICES
Delray Beach, FL
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CRD#: 3150711
MM
Professional summary
Mark Lawrence Macleod, who also goes by Mark L Macleod, is a registered financial advisor currently at RM FINANCIAL SERVICES, LLC located in Delray Beach, Florida and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark L Macleod
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.
1) RM Financial Serivces, LLC. Investment Related. At registered location. RIA. President/IAR. 10/18/2023. Hrs/month 150 all during trading hours. Portfolio Manager/Financial Planner. 2) Fixed Insurance. Investment Related. At registered location. Fixed/Traditional Insurance. 10/18/2023. Hrs/month 5 all during trading hours. Provide insurance advice based on the needs of clients. 3) PKSF. Investment Related. At registered location. Fixed/Traditional Insurance. 10/18/2023. Hrs/month 5 all during trading hours. Provide insurance advice based on the needs of clients. 4) Bookkeeping Plus Inc. Not Investment Related. PO Box 10811 Portland, ME 04104. Accounting. Owner/CPA. 3/3/2023. Hrs/month 10 with 0 during trading hours. Preparation of individual, partnership and corporate taxes. 5) MGM Development, LLC. Not Investment Related. PO Box 10811 Portland, ME 04104. Real Estate. Owner. 10/27/2004. Hrs/month 0 all during trading hours. Owner of the business. While the corporation still exists it has not had any active projects in many years. 6) Republicash, LLC. Not Investment Related. 682 Main Street South Portland, Maine 04106. Cash Checking Service. Partner. 12/31/2011. Hrs/month 10 with 0 during trading hours. Passive partner. 7) Pinstripes, LLC. Not Investment Related. 682 Main Street South Portland, Maine 04106. Real Estate Holdings. Partner. 2/28/2011. Hrs/month 1 with 0 during trading hours. Passive partner. 8) Repcash Tax Preparation Services, LLC. Not Investment Related. 682 Main Street South Portland, Maine 04106. Tax Preparation. Owner. 2/28/2011. Hrs/month 2 with 0 during trading hours. Passive partner. 9) Repcash, LLC. Not Investment Related. 682 Main Street South Portland, Maine 04106. Real Estate Holdings. Partner. 12/31/2011. Hrs/month 2 with 0 during trading hours. Passive partner.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Lawrence Macleod's 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®
NoneExperience
Current
November 15, 2019 - Present
RM FINANCIAL SERVICES, LLC
RIA
CRD#: 304297
Delray Beach, FL
Current
October 20, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207Office #2: 362 Us Route One, Falmouth, ME 04105BD
CRD#: 35747
ALBANY, NY
Past
October 22, 2019 - October 30, 2023
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
FALMOUTH, ME
Past
January 3, 2007 - October 30, 2023
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
FALMOUTH, ME
Past
January 1, 1999 - January 9, 2007
EDWARD JONES
BD
CRD#: 250
PORTLAND, ME
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".
RF
RM FINANCIAL SERVICES, LLC
RM FINANCIAL SERVICES, LLC
CRD#: 304297 / SEC#: 801-120468
RIA
Registered Investment Advisory firm - (3/8/2021 Approved)Maine
Registered Investment Advisory firm - (3/30/2021 Terminated)New Hampshire
Registered Investment Advisory firm - (4/14/2021 Terminated)Virginia
Registered Investment Advisory firm - (3/24/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(10/20/2023)
RR
Connecticut(10/20/2023)
IAR
Florida(4/26/2023)
RR
Florida(10/20/2023)
IAR
Maine(11/15/2019)
RR
Maine(10/20/2023)
RR
Massachusetts(10/20/2023)
RR
New Hampshire(10/20/2023)
RR
North Carolina(10/30/2023)
RR
South Carolina(10/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
RM FINANCIAL SERVICES, LLC
RM FINANCIAL SERVICES, LLC
CRD#: 304297 / SEC#: 801-120468
RIA
Registered Investment Advisory firm - (3/8/2021 Approved)Maine
Registered Investment Advisory firm - (3/30/2021 Terminated)New Hampshire
Registered Investment Advisory firm - (4/14/2021 Terminated)Virginia
Registered Investment Advisory firm - (3/24/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
362 Us Route One, Falmouth, ME 04105
Mailing Address
Phone number
(207) 781-7637
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 993 |
| AUM (Assets Under Management) | $ 221,081,455 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
