Mark L. Schofield
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 Lyle Schofield, who also goes by Mark L Schofield, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1980. Mark had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 15, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2012 - September 8, 2015
FFEC WEALTH PARTNERS LLC
August 1, 2012 - September 8, 2015
FFEC WEALTH PARTNERS LLC
July 13, 2009 - August 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 5, 2008 - August 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 7, 2005 - May 2, 2008
LOCORR DISTRIBUTORS, LLC
December 1, 2000 - December 2, 2003
TRANSAMERICA CAPITAL, LLC
May 10, 1999 - December 12, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 21, 1998 - May 18, 1999
CAPITAL BROKERAGE CORPORATION
April 21, 1993 - July 13, 1998
NUVEEN SECURITIES, LLC
April 9, 1990 - February 20, 1991
ZIONS DIRECT, INC.
October 14, 1986 - December 15, 1988
MASON, HUNT & CO., INC.
November 22, 1982 - November 1, 1985
LEHMAN BROTHERS INC.
September 3, 1980 - November 29, 1982
BOETTCHER & COMPANY, INC.
February 25, 1980 - September 4, 1980
UBS FINANCIAL SERVICES 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
Series 15
Date: 1/9/1984
Foreign Currency Options ExaminationCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| 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.
