Mark A. Powell
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 August Powell was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 2006. Mark had worked at 3 firms and has passed the Series 63, Series 65, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2006 - August 28, 2009
LIGHTHOUSE CAPITAL CORPORATION
August 22, 2006 - August 28, 2009
LIGHTHOUSE CAPITAL CORPORATION
May 2, 2006 - August 1, 2006
PACIFIC WEST SECURITIES, INC.
March 23, 2006 - August 1, 2006
PACIFIC WEST FINANCIAL CONSULTANTS 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
LIGHTHOUSE CAPITAL CORPORATION
CRD#: 41812 / SEC#: , 8-49576
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
