Mark T. Ledbetter
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 Thomas Ledbetter was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2023. Mark had worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2026 - July 28, 2026
PATHSTONE
March 22, 2024 - July 31, 2025
ROBERTSON STEPHENS
September 26, 2023 - December 4, 2023
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
PATHSTONE
CRD#: 151736 / SEC#: 801-70776
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 6TO
Date: 9/26/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PATHSTONE
CRD#: 151736 / SEC#: 801-70776
Contact information
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,320 |
| AUM (Assets Under Management) | $ 100,444,137,501 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2025 | ||
| 09/27/2024 | ||
| 10/25/2023 | ||
| 01/27/2023 |
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.
