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Mark A. Brisson
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CRD#: 4497486
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Mark Alan Brisson
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 Alan Brisson, CFP® was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2002. Mark had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
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.
1) MARK BRISSON CPA ACCOUNTANCY CORP POSITION: Owner NATURE: TAX PREPARATION; ACCOUNTING INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 10 START DATE: 07/06/2000 ADDRESS: 111 N Sepulveda Bl, Suite 250, Manhattan Beach CA 90266 DESCRIPTION: All facets of business operation 2) MARK A BRISSON POSITION: Owner NATURE: INSURANCE Health, Life, LTC, Disability, fixed annuities INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 12/27/2001 ADDRESS: 111 N Sepulveda Bl, Suite 250, Manhattan Beach CA 90266 DESCRIPTION: All facets of business operations 3) RANCHO SANTANA CASA JARDIN POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 1/1/2022 ADDRESS: 111 N Sepulveda Bl, Suite 250, Manhattan Beach CA 90266 DESCRIPTION: Collect Rent/Property management 4) Brisson, Pannu and Woo LLP, 02/01/2024, CPA/Accounting Services/Tax Preparation, Limited Partner, 40 hrs/month (out of 160 hrs/month), 20 hrs/month (out of 120 hrs/month), Not investment related
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2001
Experience
Past
July 10, 2025 - December 19, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
MANHATTAN BEACH, CA
Past
July 10, 2025 - December 19, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
MANHATTAN BEACH, CA
Past
April 5, 2006 - July 10, 2025
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
MANHATTAN BEACH, CA
Past
April 4, 2006 - July 10, 2025
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
MANHATTAN BEACH, CA
Past
May 10, 2002 - April 3, 2006
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
MANHATTAN BEACH, CA
Past
February 15, 2002 - April 3, 2006
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
MANHATTAN BEACH, CA
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".
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
41,879
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 | GROUP MANAGING DIRECTOR, CHIEF CLIENT OFFICER | 4194266 |
| GATES, GREGORY | GROUP MANAGING DIRECTOR, CHIEF PRODUCT & TECHNOLOGY OFFICER | 7069201 |
| JAMBUSARIA, ANERI | GROUP MANAGING DIRECTOR, CHIEF WEALTH OFFICER | 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 | GROUP MANAGING DIRECTOR, CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | MANAGING DIRECTOR, CHIEF RISK OFFICER, HEAD OF BUSINESS OPERATIONS | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,850,994 |
| AUM (Assets Under Management) | $ 819,117,829,825 |
Disclosures
| Regulatory Event | 236 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2026 | ||
| 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.
