Mark S. Akers
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 Steven Akers, who also goes by Steve Akers, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1977. Mark had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2015 - February 2, 2017
RAYMOND JAMES & ASSOCIATES, INC.
November 2, 2015 - February 2, 2017
RAYMOND JAMES & ASSOCIATES, INC.
May 30, 2007 - April 16, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 30, 2007 - April 16, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2006 - April 30, 2007
FIRST AMERICAN FINANCIAL ADVISORS, INC.
May 3, 2006 - April 30, 2007
GREAT AMERICAN INVESTORS, INC.
July 19, 2004 - April 29, 2006
ARCHER ALEXANDER SECURITIES CORPORATION
July 1, 2003 - June 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 21, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 21, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1990 - August 22, 1997
WELLS FARGO CLEARING SERVICES, LLC
May 15, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
May 11, 1987 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
April 7, 1981 - May 22, 1987
CITIGROUP GLOBAL MARKETS INC.
December 12, 1978 - May 3, 1981
MORGAN STANLEY DW INC.
June 1, 1977 - January 1, 1979
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 15
Date: 6/6/1988
Foreign Currency Options ExaminationSeries 8
Date: 8/25/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
