Mark W. Fowler
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 William Fowler was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2003. Mark had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2017 - December 12, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 19, 2017 - December 12, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 9, 2009 - June 19, 2017
WFG ADVISORS, LP
June 9, 2009 - June 19, 2017
WFG INVESTMENTS, INC.
September 27, 2007 - June 4, 2009
CITIGROUP GLOBAL MARKETS INC.
September 27, 2007 - June 4, 2009
CITIGROUP GLOBAL MARKETS INC.
September 13, 2004 - October 4, 2007
A. G. EDWARDS & SONS, INC.
September 13, 2004 - October 4, 2007
A. G. EDWARDS & SONS, INC.
August 14, 2003 - August 9, 2004
WFG INVESTMENTS, INC.
April 28, 2003 - July 17, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
April 28, 2003 - July 17, 2003
IDS LIFE INSURANCE COMPANY
April 28, 2003 - July 17, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Branch OwnerCRD#: 149018TRUST BUT VERIFY
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