Brian L. Mark
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.
Brian Leslie Mark was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1976. Brian had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 53, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2017 - September 5, 2017
LAKE AVENUE FINANCIAL, LLC
October 30, 2015 - December 31, 2015
LAKE AVENUE FINANCIAL, LLC
December 31, 1997 - September 8, 2016
LPL FINANCIAL LLC
September 1, 1995 - April 13, 2017
LPL FINANCIAL LLC
September 4, 1990 - September 12, 1995
WELLS FARGO CLEARING SERVICES, LLC
September 20, 1985 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 19, 1979 - September 26, 1985
SUTRO & CO. INCORPORATED
February 24, 1978 - April 10, 1979
MORGAN STANLEY DW INC.
January 2, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
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 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 12
Date: 4/21/1980
NYSE Branch Manager ExaminationCurrent Firm
LAKE AVENUE FINANCIAL, LLC
CRD#: 168946 / SEC#:
Contact information
Red Flags
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