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Mark Foster

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CRD#: 719105
MF

Professional summary

Mark Foster was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial advisor and started their career in finance in 1980. Prior to being barred, Mark had worked at 4 firms, which includes STERN FISHER EDWARDS INC, FOSTER INVESTMENT CONSULTING LLC, THE SEIDLER COMPANIES INCORPORATED, BATEMAN EICHLER HILL RICHARDS INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 14, 2006 - May 2, 2012

STERN FISHER EDWARDS INC

BD
CRD#: 7548
LOS ANGELES, CA
Past

September 27, 2004 - December 31, 2012

FOSTER INVESTMENT CONSULTING LLC

RIA
CRD#: 130624
PASADENA, CA
Past

January 24, 2002 - February 18, 2005

THE SEIDLER COMPANIES INCORPORATED

RIA
CRD#: 3911
LOS ANGELES, CA
Past

November 28, 1984 - December 19, 2006

THE SEIDLER COMPANIES INCORPORATED

BD
CRD#: 3911
LOS ANGELES, CA
Past

November 23, 1980 - November 27, 1984

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/3/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/10/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/4/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/3/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/24/2001
General Securities Principal Examination

Current Firm

SF
STERN FISHER EDWARDS INC
SFE INVESTMENT COUNSEL | STERN, FISHER, ATKINSON, LA FACE & HANKOFF, INC. | STERN, FISHER, ATKINSON & LA FACE, INC. | STERN FISHER EDWARDS INC | STERN FISHER ATKINSON INC.

CRD#: 7548 / SEC#: , 8-22274

BD
Terminated by SEC on 06/28/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 10/19/1977
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KMETT, JON MICHAELPRESIDENT, DIRECTOR AND CFO1918840
BOHLEN, CHARLES EUSTIS JR.CHIEF INVESTMENT OFFICER, DIRECTOR2593273
MCCASLAND, TERI MAYVP, DIRECTOR, CHIEF COMPLIANCE OFFICER1005907
MOYLAN, JAMES THOMASDIRECTOR5292132
THOMSEN, DAVID JOHNDIRECTOR4809052
FISHER, EARL WEBSTER JRCHAIRMAN208574
EDWARDS, FRED MAX JRVICE CHAIRMAN75773

Disclosures

Regulatory Event3
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

STERN FISHER EDWARDS INC

CRD#: 7548

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