Mark C. Cupp
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 Carl Cupp, who also goes by Mark Carl Cupp Jr, Mark Carl Cupp, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2005. Mark had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 6 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 23, 2015 - January 13, 2016
CAPITAL ANALYSTS
May 29, 2015 - January 13, 2016
LINCOLN INVESTMENT
March 18, 2015 - January 13, 2016
LINCOLN INVESTMENT
May 1, 2013 - April 15, 2014
ALPHASTAR CAPITAL MANAGEMENT
April 16, 2012 - May 2, 2013
NEPSIS ADVISOR SERVICES, INC.
March 19, 2012 - May 2, 2013
NEPSIS, INC.
May 27, 2011 - December 1, 2011
REGAL INVESTMENT ADVISORS LLC
February 16, 2011 - July 26, 2011
LINDSEY FINANCIAL, INC.
October 30, 2007 - September 8, 2010
MML INVESTORS SERVICES, LLC
October 30, 2007 - September 8, 2010
MML INVESTORS SERVICES, LLC
December 20, 2006 - October 29, 2007
EAGLE STRATEGIES LLC
September 28, 2005 - October 29, 2007
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
