Mark W. Stephens
Professional summary
Mark Wesley Stephens was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Mark had worked at 4 firms, which includes EMERALD VENTURES LLC, TRINITY SECURITIES INC., PREMIER GROUP INC., PINNACLE PARTNERS FINANCIAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2009 - February 2, 2010
EMERALD VENTURES, LLC
November 19, 2008 - April 22, 2009
TRINITY SECURITIES, INC.
July 15, 2008 - November 17, 2008
PREMIER GROUP, INC.
June 11, 2008 - June 12, 2008
PINNACLE PARTNERS FINANCIAL CORPORATION
June 6, 2005 - July 20, 2005
PREMIER GROUP, INC.
March 1, 2002 - May 13, 2005
PREMIER GROUP, INC.
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
EMERALD VENTURES, LLC
CRD#: 141966 / SEC#: , 8-67420
Contact information
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.
