MS
Mark R. Singh
LPL ENTERPRISE
BASKING RIDGE, NJ 07920
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CRD#: 5327899
MS
Professional summary
Mark Rajendra Singh, who also goes by Mark R Singh, Mark Rajendra Singh, Mark Singh, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Basking Ridge, New Jersey.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Mark has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark R Singh | Mark Rajendra Singh | Mark Singh
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- 12/2024 / 1st Class Entertainment & Productions LLC / Artist/ Musician / Not Investment Related / 20 hrs mth / Start date: 09/04/1999
CRS (Client Relationship Summary) - RIA
Click below to view Mark Rajendra Singh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Rajendra Singh's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 13, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Current
January 10, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920RIA
BD
CRD#: 8733
BASKING RIDGE, NJ
Past
August 20, 2021 - September 3, 2024
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
CHATHAM, NJ
Past
August 19, 2021 - September 3, 2024
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
CHATHAM, NJ
Past
September 4, 2019 - December 11, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SECAUCUS, NJ
Past
September 3, 2019 - December 11, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SECAUCUS, NJ
Past
September 20, 2016 - August 31, 2017
GWN SECURITIES INC.
RIA
CRD#: 128929
ISELIN, NJ
Past
September 14, 2016 - August 31, 2017
GWN SECURITIES INC.
BD
CRD#: 128929
ISELIN, NJ
Past
June 16, 2015 - July 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PARAMUS, NJ
Past
June 2, 2015 - July 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PARAMUS, NJ
Past
February 11, 2014 - April 1, 2014
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
NEW YORK, NY
Past
October 28, 2009 - April 30, 2013
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
NEW YORK, NY
Past
May 20, 2009 - November 4, 2009
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
ROSALYN HEIGHTS, NY
Past
June 13, 2007 - October 24, 2008
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
GARDEN CITY, NY
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New Jersey(1/13/2025)
IAR
New Jersey(1/13/2025)
IAR
New York(1/13/2025)
RR
New York(1/19/2025)
RR
Virginia(3/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)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
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
