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ME

Mark R. Elliott

NC SECURITIES
Easton, MD 21601
Some features on this profile are disabled
CRD#: 4467399
ME

Professional summary

Mark Richard Elliott is a registered financial professional currently at NC SECURITIES, LLC located in Easton, Maryland.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2001. Mark has worked at 8 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 31 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Richard Elliott'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®
None

Experience

Current

September 19, 2023 - Present

NC SECURITIES, LLC

Office #1: 101 Marlboro Avenue Suite 53, Easton, MD 21601
BD
CRD#: 141074
Easton, MD
Past

July 3, 2012 - August 10, 2015

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
NORTHBROOK, IL
Past

July 3, 2012 - August 10, 2015

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NORTHBROOK, IL
Past

June 7, 2010 - December 21, 2010

MORGAN STANLEY

RIA
CRD#: 149777
NEWPORT BEACH, CA
Past

May 10, 2010 - December 21, 2010

MORGAN STANLEY

BD
CRD#: 149777
NEWPORT BEACH, CA
Past

October 24, 2006 - March 28, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BIRMINGHAM, MI
Past

October 20, 2006 - March 28, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
BIRMINGHAM, MI
Past

February 17, 2005 - September 29, 2006

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
SOUTHFIELD, MI
Past

November 1, 2004 - September 29, 2006

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
SOUTHFIELD, MI
Past

November 19, 2003 - October 22, 2004

NORTHERN TRUST SECURITIES, INC.

RIA
CRD#: 7927
FORT LAUDERDALE, FL
Past

November 10, 2003 - October 22, 2004

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

January 1, 2002 - June 10, 2003

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN
Past

January 31, 2001 - June 10, 2003

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
WAHINGTON, DC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Maryland
(9/19/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/21/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/1/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/8/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/19/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/22/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/7/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 11/30/2001
Futures Managed Funds Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NC SECURITIES, LLC
NC SECURITIES, LLC

CRD#: 141074 / SEC#: , 8-67360

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
101 Marlboro Avenue Suite 53, Easton, MD 21601
Mailing Address
101 Marlboro Avenue Suite 53, Easton, MD 21601
Phone number
(240) 988-1296
Established
Delaware since 09/28/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL CAPITAL COMPANIES, LLCMEMBER
ALBERTINI, WENDY ANNEFINOP, PRINCIPAL5171062
WOMER, DARREN SCOTTPRESIDENT, CEO, CCO, EXECUTICE REP2618788

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.

Company Information

NC SECURITIES, LLC

CRD#: 141074Easton, MD 21601

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