Mark N. Allen
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 Nmn Allen, who also goes by Mark Allen, Mark Alan Mowcomber, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1981. Mark had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53 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
July 1, 2019 - October 3, 2023
ACCESS SOFTEK ADVISORY SERVICES
January 10, 2011 - May 10, 2016
WSECU INVESTMENT MANAGEMENT
September 3, 2010 - April 26, 2016
LPL FINANCIAL LLC
July 30, 2008 - April 26, 2016
LPL FINANCIAL LLC
August 23, 2006 - December 8, 2006
DFC INVESTOR SERVICES
August 22, 2006 - December 8, 2006
DFC INVESTOR SERVICES
October 10, 1991 - May 19, 2006
SECU BROKERAGE SERVICES
February 2, 1991 - July 19, 1991
SPELMAN & CO., INC.
January 30, 1989 - January 1, 1991
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 13, 1987 - January 20, 1989
AGFC INVESTMENT SECURITIES
June 4, 1987 - July 29, 1987
LPL FINANCIAL LLC
December 2, 1985 - February 10, 1987
GAF FINANCIAL AND INSURANCE SERVICES
June 12, 1985 - December 24, 1986
PAMCO SECURITIES AND INSURANCE SERVICES
March 20, 1985 - March 25, 1985
CFG SECURITIES CORP.
May 18, 1981 - December 14, 1983
SECURITIES RESOLUTION CORPORATION
Primary Firm SEC Registration
ACCESS SOFTEK ADVISORY SERVICES
CRD#: 299800 / SEC#: 801-116873
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
Current Firm
ACCESS SOFTEK ADVISORY SERVICES
CRD#: 299800 / SEC#: 801-116873
Contact information
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,012 |
| AUM (Assets Under Management) | $ 6,257,614 |
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.
