Mark Mccormick

FOUNDERS FINANCIAL ALLIANCE

Raleigh, NC

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CRD#: 6264414

Professional summary

Mark Mccormick, who also goes by Mark J Mccormick, Mark Mccormick, is a registered financial advisor currently at FOUNDERS FINANCIAL ALLIANCE, LLC located in Raleigh, North Carolina.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Mark has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark J Mccormick | Mark Mccormick

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 Mccormick'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 25, 2018 - Present

FOUNDERS FINANCIAL ALLIANCE, LLC

RIA

CRD#: 173011

Raleigh, NC

Past

January 15, 2014 - June 23, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CARY, NC

Past

December 12, 2013 - June 23, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CARY, NC

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".

FOUNDERS FINANCIAL ALLIANCE, LLC

CRD#: 173011 / SEC#: 801-108700

RIA

Registered Investment Advisory firm - (11/21/2016 Approved)

Arizona

Registered Investment Advisory firm - (11/28/2016 Terminated)

Arkansas

Registered Investment Advisory firm - (11/28/2016 Terminated)

California

Registered Investment Advisory firm - (12/28/2016 Terminated)

Connecticut

Registered Investment Advisory firm - (11/29/2016 Terminated)

District of Columbia

Registered Investment Advisory firm - (11/28/2016 Terminated)

Florida

Registered Investment Advisory firm - (11/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (12/20/2016 Terminated)

Illinois

Registered Investment Advisory firm - (11/21/2016 Terminated)

Indiana

Registered Investment Advisory firm - (12/1/2016 Terminated)

Iowa

Registered Investment Advisory firm - (11/29/2016 Terminated)

Kentucky

Registered Investment Advisory firm - (12/6/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (11/29/2016 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2016 Terminated)

Michigan

Registered Investment Advisory firm - (12/14/2016 Terminated)

Minnesota

Registered Investment Advisory firm - (12/5/2016 Terminated)

New Jersey

Registered Investment Advisory firm - (11/29/2016 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2016 Terminated)

New York

Registered Investment Advisory firm - (11/28/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (11/30/2016 Terminated)

Ohio

Registered Investment Advisory firm - (11/28/2016 Terminated)

Oregon

Registered Investment Advisory firm - (11/28/2016 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/29/2016 Terminated)

South Carolina

Registered Investment Advisory firm - (11/28/2016 Terminated)

Tennessee

Registered Investment Advisory firm - (11/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/28/2016 Terminated)

Virginia

Registered Investment Advisory firm - (11/29/2016 Terminated)

West Virginia

Registered Investment Advisory firm - (11/28/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - (11/29/2016 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

North Carolina
(1/25/2018)

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: 1/14/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/2013

General Securities Representative Examination

Current Firm

FOUNDERS FINANCIAL ALLIANCE, LLC

CRD#: 173011 / SEC#: 801-108700

RIA

Registered Investment Advisory firm - (11/21/2016 Approved)

Arizona

Registered Investment Advisory firm - (11/28/2016 Terminated)

Arkansas

Registered Investment Advisory firm - (11/28/2016 Terminated)

California

Registered Investment Advisory firm - (12/28/2016 Terminated)

Connecticut

Registered Investment Advisory firm - (11/29/2016 Terminated)

District of Columbia

Registered Investment Advisory firm - (11/28/2016 Terminated)

Florida

Registered Investment Advisory firm - (11/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (12/20/2016 Terminated)

Illinois

Registered Investment Advisory firm - (11/21/2016 Terminated)

Indiana

Registered Investment Advisory firm - (12/1/2016 Terminated)

Iowa

Registered Investment Advisory firm - (11/29/2016 Terminated)

Kentucky

Registered Investment Advisory firm - (12/6/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (11/29/2016 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2016 Terminated)

Michigan

Registered Investment Advisory firm - (12/14/2016 Terminated)

Minnesota

Registered Investment Advisory firm - (12/5/2016 Terminated)

New Jersey

Registered Investment Advisory firm - (11/29/2016 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2016 Terminated)

New York

Registered Investment Advisory firm - (11/28/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (11/30/2016 Terminated)

Ohio

Registered Investment Advisory firm - (11/28/2016 Terminated)

Oregon

Registered Investment Advisory firm - (11/28/2016 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/29/2016 Terminated)

South Carolina

Registered Investment Advisory firm - (11/28/2016 Terminated)

Tennessee

Registered Investment Advisory firm - (11/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/28/2016 Terminated)

Virginia

Registered Investment Advisory firm - (11/29/2016 Terminated)

West Virginia

Registered Investment Advisory firm - (11/28/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - (11/29/2016 Terminated)

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Contact information

Main Address

9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615

Mailing Address

Phone number

(855) 860-5940

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOUNDERS FINANCIAL ADV 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	3,918
AUM (Assets Under Management)	$ 1,002,097,380

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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Mark Mccormick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FOUNDERS FINANCIAL ALLIANCE, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FOUNDERS FINANCIAL ALLIANCE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/14/2014

SIE

Date: 6/23/2016

Series 7

Date: 12/12/2013

Current Firm

FOUNDERS FINANCIAL ALLIANCE, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUNDERS FINANCIAL ALLIANCE, LLC

TRUST BUT VERIFY

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