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Mark Turner Cowan

CRD# 4120114·Registered 2000 - 2016
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Turner Cowan was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 2000 - 2016. Mark had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

MERCAP SECURITIES, LLC·CRD# 156607
BD
Atlanta, GA
June 3, 2016 - December 31, 2016
MSI FINANCIAL SERVICES, INC.·CRD# 14251
RIA
Valparaiso, IN
July 15, 2008 - March 26, 2009
MSI FINANCIAL SERVICES, INC.·CRD# 14251
BD
Springfield, MA
June 26, 2008 - March 26, 2009
FIRST ALLIED SECURITIES, INC.·CRD# 32444
BD
Valparaiso, IN
May 30, 2008 - June 27, 2008
LAKESIDE WEALTH MANAGEMENT GROUP, LLC·CRD# 140271
RIA
Chesterton, IN
April 30, 2007 - August 11, 2008
FFP SECURITIES, INC.·CRD# 16337
BD
Valparaiso, IN
April 9, 2001 - May 30, 2008
ROBERT W. BAIRD & CO. INCORPORATED·CRD# 8158
BD
Milwaukee, WI
March 6, 2000 - April 11, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC·CRD# 2881
BD
Milwaukee, WI
March 6, 2000 - April 11, 2001

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Current Firm

MS
MERCAP SECURITIES, LLC

MERCAP SECURITIES LLC | MERCAP SECURITIES, LLC

CRD#: 156607 / SEC#: 8-68810
BD
Terminated by SEC on 01/24/2021

Contact Information

Established

Delaware since 12/29/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SFA HOLDINGS, INC.ENTITY—
GOLD, RANDY SCOTTPRESIDENT6952957
HEMDAL, MEGEN ANNCHIEF COMPLIANCE OFFICER5603503
HOLLOWAY, LAREE LYNNEFINOP1365566

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2016About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Apr 2007About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2016About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jun 2016About the Series 6 exam

Series 7 — General Securities Representative Examination

Passed Apr 2002About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 2004About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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