Brian C. Mark

ST. JAMES INVESTMENT ADVISORS

Port Jefferson, NY 11777

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CRD#: 3218604

Professional summary

Brian Christopher Mark, who also goes by Brian Mark, is a registered financial advisor currently at ST. JAMES INVESTMENT ADVISORS, LLC located in Port Jefferson, New York.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Brian has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Mark

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) - RIA

Click below to view Brian Christopher Mark'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®

None

Experience

Current

May 24, 2016 - Present

ST. JAMES INVESTMENT ADVISORS, LLC

Office #1: 414 Main Street Suite 205, Port Jefferson, NY 11777

RIA

CRD#: 283880

Port Jefferson, NY

Past

March 29, 2005 - December 31, 2005

LIBERTY ST. JAMES

RIA

CRD#: 133514

SMITHTOWN, NY

Past

March 13, 2003 - November 1, 2016

ST. JAMES INVESTMENT COMPANY, LLC

RIA

CRD#: 124777

PORT JEFFERSON, NY

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".

ST. JAMES INVESTMENT ADVISORS, LLC

CRD#: 283880 / SEC#: 801-107821

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Florida
(5/21/2024)

IAR

New York
(6/22/2021)

IAR

Texas
(5/24/2016)

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: 4/13/1999

Uniform Investment Adviser Law Examination

Current Firm

ST. JAMES INVESTMENT ADVISORS, LLC

CRD#: 283880 / SEC#: 801-107821

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

414 Main Street Suite 205, Port Jefferson, NY 11777

Mailing Address

Phone number

(631) 979-6520

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-ST. JAMES INVESTMENT ADVISORS, LLC (3/5/2025)

Regulatory assets under management

Total Number of Accounts	137
AUM (Assets Under Management)	$ 46,466,489

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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Brian C. Mark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Christopher Mark's CRS (Customer Relationship Summary).

Certified licenses

Experience

ST. JAMES INVESTMENT ADVISORS, LLC

LIBERTY ST. JAMES

ST. JAMES INVESTMENT COMPANY, LLC

Primary Firm SEC Registration

ST. JAMES INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/1999

Current Firm

ST. JAMES INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ST. JAMES INVESTMENT ADVISORS, LLC

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