Mark T. Cowan
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 Turner Cowan was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2016 - December 31, 2016
MERCAP SECURITIES, LLC
July 15, 2008 - March 26, 2009
MSI FINANCIAL SERVICES, INC.
June 26, 2008 - March 26, 2009
MSI FINANCIAL SERVICES, INC.
May 30, 2008 - June 27, 2008
FIRST ALLIED SECURITIES, INC.
April 30, 2007 - August 11, 2008
LAKESIDE WEALTH MANAGEMENT GROUP, LLC
April 9, 2001 - May 30, 2008
FFP SECURITIES, INC.
March 6, 2000 - April 11, 2001
ROBERT W. BAIRD & CO. INCORPORATED
March 6, 2000 - April 11, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
Exams
Current Firm
MERCAP SECURITIES, LLC
CRD#: 156607 / SEC#: , 8-68810
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
