Mark F. Saran

NORTH SHORE PRIVATE ASSET MANAGEMENT

Lake Forest, IL 60045

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CRD#: 6155443

Professional summary

Mark Francis Saran, who also goes by Mark F Saran Jr, Mark Francis Saran Jr, Mark Francis Saran, is a registered financial advisor currently at NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC located in Lake Forest, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Mark has worked at 7 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark F Saran Jr | Mark Francis Saran Jr | Mark Francis Saran

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Francis Saran's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 24, 2023 - Present

NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC

Office #1: 222 E. Wisconsin Ave Suite 102, Lake Forest, IL 60045

RIA

CRD#: 130132

Lake Forest, IL

Past

August 18, 2020 - February 2, 2022

JVM SECURITIES, LLC

CRD#: 290327

OAK BROOK, IL

Past

July 12, 2018 - June 2, 2020

ALPHAMAX DISTRIBUTORS, L.L.C.

CRD#: 8258

LA JOLLA, CA

Past

October 7, 2014 - July 18, 2018

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

CHICAGO, IL

Past

October 7, 2014 - July 18, 2018

NEUBERGER BERMAN BD LLC

CRD#: 2908

CHICAGO, IL

Past

August 28, 2013 - September 26, 2014

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

August 28, 2013 - September 26, 2014

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

DOWNERS GROVE, IL

Past

April 19, 2013 - August 5, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NORTHBROOK, IL

Past

March 13, 2013 - August 5, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NORTHBROOK, IL

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".

NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC

CRD#: 130132 / SEC#: 801-92175

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Illinois

Registered Investment Advisory firm - (4/17/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(4/24/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/15/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/15/2017

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/12/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 11/20/2018

NFA Branch Manager Examination

Current Firm

NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC

CRD#: 130132 / SEC#: 801-92175

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Illinois

Registered Investment Advisory firm - (4/17/2015 Terminated)

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Contact information

Main Address

222 E. Wisconsin Ave Suite 102, Lake Forest, IL 60045

Mailing Address

Phone number

(888) 375-4918

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/29/2025)

Regulatory assets under management

Total Number of Accounts	428
AUM (Assets Under Management)	$ 474,527,989

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.

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Advisor Monitoring

Firm Stability Insights

Mark F. Saran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Francis Saran's CRS (Customer Relationship Summary).

Certified licenses

Experience

JVM SECURITIES, LLC

ALPHAMAX DISTRIBUTORS, L.L.C.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/15/2013

SIE

Date: 10/1/2018

Series 31

Date: 9/15/2017

Series 7

Date: 3/12/2013

Series 30

Date: 11/20/2018

Current Firm

NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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