Mark A. Stephens
Professional summary
Mark Andrew Stephens, who also goes by Mark Stephens, is a registered financial professional currently at QUASAR DISTRIBUTORS, LLC located in Charlotte, North Carolina.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2000. Mark has worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Andrew Stephens's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 17, 2020 - Present
QUASAR DISTRIBUTORS, LLC
Office #1: 6210 Ardrey Kell Road Suite 300, Charlotte, NC 28277May 23, 2011 - May 18, 2020
ALLY INVEST SECURITIES LLC
May 8, 2000 - May 18, 2011
E*TRADE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/17/2020)
Exams
FINRA
Current Firm
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
