JL
James M. Lavan
CLEARBRIDGE INVESTMENTS
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 4324187
JL
Professional summary
James Mark Lavan, who also goes by Mark Lavan, is a registered financial advisor currently at CLEARBRIDGE INVESTMENTS, LLC located in New York, New York and FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 10 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Lavan
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.
1. NICSA; McLean, VA; Board of Directors; beginning Oct 2018; Non-Profit Trade Association that connects global asset mgmt industry participants to develop, share and advance leading practices; 1 hour per month during normal securities trading hours. 2. Expect Miracles Foundation - Board Member; Boston, MA; Not-for-Profit, Beginning: 3/1/2025; Approx: 15 hours a year; and 1 hour monthly devoted during normal securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Mark Lavan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 5, 2012 - Present
CLEARBRIDGE INVESTMENTS, LLC
Office #1: One Madison Avenue 18th Floor, New York, NY 10010RIA
CRD#: 137028
NEW YORK, NY
Current
November 13, 2012 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078BD
CRD#: 109064
Short Hills, NJ
Past
January 2, 2024 - July 3, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
Short Hills, NJ
Past
August 1, 2020 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
New York, NY
Past
August 1, 2020 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
BD
CRD#: 13594
New York, NY
Past
July 5, 2007 - November 1, 2012
MANAGED ACCOUNT ADVISORS LLC
RIA
CRD#: 142558
JERSEY CITY, NJ
Past
May 18, 2007 - July 6, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JERSEY CITY, NJ
Past
May 18, 2007 - July 6, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 30, 2004 - April 13, 2007
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
March 1, 2002 - April 13, 2007
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
Past
May 9, 2001 - February 25, 2002
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CLEARBRIDGE INVESTMENTS, LLC
CAM NORTH AMERICA, LLC | GLOBAL CURRENTS INVESTMENT MANAGEMENT | DAVIS SKAGGS INVESTMENT MANAGEMENT | CLEARBRIDGE INVESTMENTS, LLC | CLEARBRIDGE ADVISORS, LLC | CLEARBRIDGE ADVISORS | CITIGROUP ASSET MANAGEMENT
CRD#: 137028 / SEC#: 801-64710
RIA
Registered Investment Advisory firm - (9/30/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/8/2013)
RR
Alaska(1/8/2013)
RR
Arizona(1/8/2013)
RR
Arkansas(1/8/2013)
RR
California(1/8/2013)
RR
Colorado(1/8/2013)
RR
Connecticut(1/8/2013)
RR
Delaware(1/8/2013)
RR
District of Columbia(1/8/2013)
RR
Florida(1/8/2013)
RR
Georgia(1/8/2013)
RR
Hawaii(1/8/2013)
RR
Idaho(1/8/2013)
RR
Illinois(1/8/2013)
RR
Indiana(1/8/2013)
RR
Iowa(1/8/2013)
RR
Kansas(1/8/2013)
RR
Kentucky(1/8/2013)
RR
Louisiana(1/8/2013)
RR
Maine(1/8/2013)
RR
Maryland(1/8/2013)
RR
Massachusetts(1/8/2013)
RR
Michigan(1/8/2013)
RR
Minnesota(1/8/2013)
RR
Mississippi(1/8/2013)
RR
Missouri(1/8/2013)
RR
Montana(1/8/2013)
RR
Nebraska(1/8/2013)
RR
Nevada(1/8/2013)
RR
New Hampshire(1/8/2013)
RR
New Jersey(1/8/2013)
IAR
New Jersey(2/7/2023)
RR
New Mexico(1/8/2013)
RR
New York(1/8/2013)
RR
North Carolina(1/8/2013)
RR
North Dakota(1/8/2013)
RR
Ohio(1/8/2013)
RR
Oklahoma(1/8/2013)
RR
Oregon(1/8/2013)
RR
Pennsylvania(1/8/2013)
RR
Puerto Rico(1/8/2013)
RR
Rhode Island(1/8/2013)
RR
South Carolina(1/8/2013)
RR
South Dakota(1/8/2013)
RR
Tennessee(1/8/2013)
RR
Texas(1/8/2013)
RR
Utah(1/8/2013)
RR
Vermont(1/8/2013)
RR
Virgin Islands(8/7/2023)
RR
Virginia(1/8/2013)
RR
Washington(1/8/2013)
RR
West Virginia(1/8/2013)
RR
Wisconsin(1/8/2013)
RR
Wyoming(1/8/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CLEARBRIDGE INVESTMENTS, LLC
CAM NORTH AMERICA, LLC | GLOBAL CURRENTS INVESTMENT MANAGEMENT | DAVIS SKAGGS INVESTMENT MANAGEMENT | CLEARBRIDGE INVESTMENTS, LLC | CLEARBRIDGE ADVISORS, LLC | CLEARBRIDGE ADVISORS | CITIGROUP ASSET MANAGEMENT
CRD#: 137028 / SEC#: 801-64710
RIA
Registered Investment Advisory firm - (9/30/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Madison Avenue 18th Floor, New York, NY 10010
Mailing Address
Phone number
(212) 805-2000
Established
Firm type
Fiscal year end
# of Employees
214
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 122,375 |
| AUM (Assets Under Management) | $ 180,788,611,945 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 01/24/2025 | ||
| 11/20/2023 | ||
| 01/27/2023 |
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.
