Mark R. Lindau
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 Robert Lindau was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1975. Mark had worked at 3 firms and has passed the Series 65, Series 63, SIE, PC, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2010 - May 17, 2022
FFEC WEALTH PARTNERS LLC
March 3, 2010 - May 17, 2022
FFEC WEALTH PARTNERS LLC
December 14, 1984 - July 16, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1978 - July 16, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 5/2/1977
AMEX Put and Call ExamCurrent 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.
