Mark M. Lipman
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 Mitchell Lipman was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1976. Mark had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2005 - November 11, 2015
INVESTORS CAPITAL CORP.
January 30, 2002 - December 31, 2004
EASTERN POINT ADVISORS INC.
January 7, 1998 - November 11, 2015
INVESTORS CAPITAL CORP.
December 2, 1997 - December 31, 1997
WALNUT STREET SECURITIES, INC.
June 1, 1996 - November 19, 1997
WALNUT STREET SECURITIES, INC.
May 30, 1990 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
December 16, 1989 - May 4, 1990
LPL FINANCIAL LLC
January 30, 1989 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
June 20, 1984 - December 13, 1988
W.A. ROGERS SECURITIES, INC.
April 15, 1976 - February 7, 1983
G. R. PHELPS & CO., 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
Series 1
Date: 4/8/1976
Registered Representative ExaminationCurrent Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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