Mark R. Lerom
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 R Lerom was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1999. Mark had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2010 - September 28, 2015
ALERUS SECURITIES CORPORATION
August 28, 2006 - January 26, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 28, 2006 - January 26, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 12, 2005 - August 23, 2006
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - August 23, 2006
WELLS FARGO INVESTMENTS, LLC
November 11, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
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
Current Firm
ALERUS SECURITIES CORPORATION
CRD#: 35947 / SEC#: , 8-47152
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALERUS FINANCIAL, NA | SHAREHOLDER | |
| BOLLINGBERG, KARL AUSTIN | DIRECTOR | 4629623 |
| COMPTON, KRIS ELLEN | DIRECTOR | |
| FLESCH, JOHN GERARD | DIRECTOR | 811977 |
| HANSON, JERROD KEITH | CHIEF FINANCIAL OFFICER | 4976261 |
| KRAFT, BRIAN HAROLD | PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | 1884374 |
| NEWMAN, RANDY LOUIS | CHAIRMAN/DIRECTOR | 2451981 |
| UPHAM, BONNIE JEAN | SECRETARY | 4629612 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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