Mark A. Briones
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 Anthony Briones, who also goes by Mark Briones, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 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
April 21, 2025 - May 15, 2026
LPL FINANCIAL LLC
April 1, 2025 - April 23, 2026
IHT WEALTH MANAGEMENT LLC
October 23, 2024 - April 9, 2025
PLEXUS FINANCIAL SERVICES, LLC
October 16, 2024 - April 9, 2025
PLEXUS FINANCIAL SERVICES, LLC
January 10, 2024 - July 15, 2024
EQUITABLE DISTRIBUTORS, LLC
November 30, 2022 - January 2, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2022 - January 2, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 11, 2021 - January 2, 2023
VALIC FINANCIAL ADVISORS, INC.
February 11, 2021 - January 2, 2023
VALIC FINANCIAL ADVISORS, INC.
January 13, 2021 - February 10, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 12, 2021 - February 10, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 5, 2016 - December 17, 2020
VALIC FINANCIAL ADVISORS, INC.
January 6, 2016 - December 17, 2020
VALIC FINANCIAL ADVISORS, INC.
June 19, 2002 - January 6, 2016
FARMERS FINANCIAL SOLUTIONS, LLC
March 8, 2002 - April 1, 2002
AMSOUTH INVESTMENT SERVICES, INC.
October 24, 2001 - February 20, 2002
MML INVESTORS SERVICES, LLC
June 26, 2001 - August 22, 2001
IDS LIFE INSURANCE COMPANY
June 26, 2001 - August 22, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
October 30, 2000 - June 8, 2001
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
