Joncarlo R. Mark

BA SECURITIES

DAVIS, CA 95618

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CRD#: 6249625

Professional summary

Joncarlo Ruben Mark, who also goes by Joncarlo Mark, is a registered financial professional currently at BA SECURITIES, LLC located in Davis, California.

Joncarlo is registered as a RR (Registered Representative) and started their career in finance in 2014. Joncarlo has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 62 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joncarlo Mark

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.

UPWELLING CAPITAL GROUP LLC 2820 FIFTH ST. DAVIS, CA 95618 OWNER & MANAGING MEMBER/INVESTMENT ADVISOR INVESTMENT-RELATED EFFECTIVE: 04/01/2011 100 HOURS PER MONTH/75 HOURS PER MONTH DURING MARKET HOURS

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joncarlo Ruben Mark'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

January 5, 2024 - Present

BA SECURITIES, LLC

Office #1: 2820 Fifth Avenue, Davis, CA 95618

CRD#: 153489

DAVIS, CA

Past

March 13, 2025 - March 26, 2025

UPWELLING CAPITAL GROUP LLC

RIA

CRD#: 164653

DAVIS, CA

Past

January 19, 2017 - April 30, 2023

UPWELLING CAPITAL GROUP LLC

RIA

CRD#: 164653

DAVIS, CA

Past

July 29, 2016 - December 31, 2023

BRIDGE CAPITAL ASSOCIATES, INC.

CRD#: 143475

Davis, CA

Past

November 3, 2014 - December 31, 2016

UPWELLING CAPITAL GROUP LLC

RIA

CRD#: 164653

DAVIS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(1/8/2024)

Florida
(4/23/2024)

Illinois
(2/7/2024)

New York
(4/25/2024)

Pennsylvania
(1/8/2024)

Exams

State Security Law Exam

Series 63

Date: 8/1/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/31/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 7/29/2016

Corporate Securities Limited Representative Examination

SRO Registrations

FINRA

Current Firm

BA SECURITIES, LLC

BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS

CRD#: 153489 / SEC#: , 8-68545

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Mailing Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Phone number

(877) 738-5841

Established

Pennsylvania since 01/25/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BA HOLDCO, LLC	OWNER
BOLDEN, MICHAEL LABRADOR	CHIEF COMPLIANCE OFFICER	6411755
CHUFF, JOHN JOSEPH	PRESIDENT	1205736
HATLING, PEDER ALAN	PRINCIPAL	5240595
JUILIANO, COLLEEN JANE	FINOP	4818898
KELLER-YOUNG, SUZANNE	OPERATIONS MANAGER	5495492
PICKENS, DANIEL NEHIL	PRINCIPAL	1042225
WENTZLER, DENNIS RAYMOND	CHIEF OPERATIONS OFFICER & AML OFFICER	4221461

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

Joncarlo R. Mark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joncarlo Ruben Mark's CRS (Customer Relationship Summary).

Certified licenses

Experience

UPWELLING CAPITAL GROUP LLC

UPWELLING CAPITAL GROUP LLC

BRIDGE CAPITAL ASSOCIATES, INC.

UPWELLING CAPITAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/1/2016

Series 65

Date: 10/31/2014

SIE

Date: 10/1/2018

Series 62

Date: 7/29/2016

FINRA

Current Firm

BA SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BA SECURITIES, LLC

TRUST BUT VERIFY

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