N M. Hupe
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.
N Mark Hupe, who also goes by Mark Hupe, was a registered financial professional .
N is a previously registered financial professional and started their career in finance in 1999. N had worked at 6 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2007 - July 2, 2022
MAIN STREAM ADVISORS
October 12, 2004 - April 5, 2007
KCD FINANCIAL, INC.
August 16, 2004 - April 5, 2007
KCD FINANCIAL, INC.
January 7, 2003 - August 16, 2004
SPC
March 14, 2002 - August 16, 2004
PARKLAND SECURITIES, LLC
June 21, 2001 - March 14, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
July 29, 1999 - June 26, 2001
UNITED SECURITIES ALLIANCE, INC.
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
MAIN STREAM ADVISORS
CRD#: 143734 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 1,168,539 |
Red Flags
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