Mark R. Baran

MCDERMOTT INVESTMENT ADVISORS

ERWINNA, PA

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CRD#: 870541

Professional summary

Mark Richard Baran is a registered financial advisor currently at MCDERMOTT INVESTMENT ADVISORS, LLC located in Erwinna, Pennsylvania and MCDERMOTT INVESTMENT SERVICES, LLC located in Bethlehem, Pennsylvania.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Mark has worked at 27 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I am a Registered Rep of McDermott Investment Services, LLC a Registered Broker Dealer. Additionally I do Business as President of NL1031 a DBA established to market my Services doing 1031 Exchanges and Opportunity Zone Funds. All OBA's run concurrently.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Baran's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 27, 2020 - Present

MCDERMOTT INVESTMENT ADVISORS, LLC

RIA

CRD#: 132221

ERWINNA, PA

Current

June 26, 2019 - Present

MCDERMOTT INVESTMENT SERVICES, LLC

Office #1: 44 East Broad Street 2nd Floor, Bethlehem, PA 18018Office #2: 900 Broad Ave South Suite 2c, Naples, FL 34102

CRD#: 154926

Bethlehem, PA

Past

December 19, 2018 - June 28, 2019

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

GREENWICH, CT

Past

March 5, 2018 - March 14, 2019

SILBER BENNETT FINANCIAL, INC.

CRD#: 156435

ENCINO, CA

Past

January 19, 2017 - March 13, 2018

THIRD SEVEN CAPITAL LLC

CRD#: 160209

Lake Como, NJ

Past

June 10, 2013 - December 31, 2016

EDI FINANCIAL, INC.

CRD#: 15699

LAKE COMO, NJ

Past

February 22, 2011 - May 29, 2013

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

LAKE COMO, NJ

Past

November 5, 2009 - February 22, 2011

AMERICAN BEACON PARTNERS, INC.

CRD#: 15791

AVON BY THE SEA, NJ

Past

January 13, 2009 - October 19, 2009

BRITEHORN SECURITIES

CRD#: 36402

DENVER, CO

Past

October 22, 2008 - November 24, 2008

ANDREW GARRETT INC.

RIA

CRD#: 29931

NEW YORK, NY

Past

October 22, 2008 - November 24, 2008

ANDREW GARRETT INC.

CRD#: 29931

NEW YORK, NY

Past

November 21, 2005 - August 28, 2007

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

November 1, 2005 - August 28, 2007

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

August 12, 2003 - March 29, 2004

WATSON SECURITIES CORP

CRD#: 123378

NEW YORK, NY

Past

June 4, 1999 - August 21, 2001

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

February 1, 1999 - February 11, 1999

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

September 26, 1996 - January 29, 1999

NICHOLAS-APPLEGATE SECURITIES LLC

CRD#: 31205

SAN DIEGO, CA

Past

March 11, 1996 - September 18, 1996

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

March 1, 1996 - September 18, 1996

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 18, 1995 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

January 31, 1995 - May 12, 1995

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

May 27, 1994 - January 31, 1995

TRANSAMERICA FUND DISTRIBUTORS, INC.

CRD#: 3554

HOUSTON, TX

Past

September 23, 1992 - January 21, 1994

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

Past

December 7, 1989 - January 11, 1991

BOSTON CAPITAL SECURITIES, INC.

CRD#: 14611

BOSTON, MA

Past

October 10, 1987 - October 11, 1989

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

Past

March 23, 1987 - July 27, 1987

CONTINENTAL EQUITIES CORPORATION OF AMERICA

CRD#: 16383

Past

January 29, 1985 - December 10, 1986

JMB SECURITIES CORPORATION

CRD#: 5862

Past

July 13, 1982 - March 29, 1984

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

August 27, 1979 - June 21, 1982

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MCDERMOTT INVESTMENT ADVISORS, LLC

CRD#: 132221 / SEC#: 801-79404

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

California

Registered Investment Advisory firm - (5/7/2014 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2014 Terminated)

Maine

Registered Investment Advisory firm - (4/7/2014 Terminated)

Nevada

Registered Investment Advisory firm - (10/6/2006 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/7/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (4/7/2014 Terminated)

New York

Registered Investment Advisory firm - (4/7/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/8/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/6/2020)

Connecticut
(6/26/2019)

Florida
(3/15/2022)

Massachusetts
(1/5/2022)

New Jersey
(6/26/2019)

New York
(6/26/2019)

North Carolina
(3/15/2022)

Pennsylvania
(9/1/2021)

IAR

Pennsylvania
(9/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/15/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/4/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/28/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/16/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 8/18/1979

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MCDERMOTT INVESTMENT ADVISORS, LLC

CRD#: 132221 / SEC#: 801-79404

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

California

Registered Investment Advisory firm - (5/7/2014 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2014 Terminated)

Maine

Registered Investment Advisory firm - (4/7/2014 Terminated)

Nevada

Registered Investment Advisory firm - (10/6/2006 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/7/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (4/7/2014 Terminated)

New York

Registered Investment Advisory firm - (4/7/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/8/2014 Terminated)

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Contact information

Main Address

780 Fifth Avenue South Suite 200, Naples, FL 34102

Mailing Address

P.o. Box 1889, Bethlehem, PA 18016-1889

Phone number

(610) 882-1460

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCDERMOTT INVESTMENT ADVISORS, LLC FORM ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	709
AUM (Assets Under Management)	$ 211,048,107

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.

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Advisor Monitoring

Firm Stability Insights

Mark R. Baran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Baran's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCDERMOTT INVESTMENT SERVICES, LLC

WOODBURY FINANCIAL SERVICES, INC.

SILBER BENNETT FINANCIAL, INC.

THIRD SEVEN CAPITAL LLC

EDI FINANCIAL, INC.

ALLIED BEACON PARTNERS, INC.

AMERICAN BEACON PARTNERS, INC.

BRITEHORN SECURITIES

ANDREW GARRETT INC.

ANDREW GARRETT INC.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

WATSON SECURITIES CORP

AUGMENT SECURITIES INC.

VOYA INVESTMENTS DISTRIBUTOR, LLC

NICHOLAS-APPLEGATE SECURITIES LLC

MML DISTRIBUTORS, LLC

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

TRANSAMERICA FUND DISTRIBUTORS, INC.

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

BOSTON CAPITAL SECURITIES, INC.

KEMPER FINANCIAL SERVICES, INC.

CONTINENTAL EQUITIES CORPORATION OF AMERICA

JMB SECURITIES CORPORATION

INTEGRATED RESOURCES EQUITY CORPORATION

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

MCDERMOTT INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2005

Series 65

Date: 11/4/1996

Series 63

Date: 12/28/1979

SIE

Date: 10/1/2018

Series 5

Date: 10/16/1981

Series 7

Date: 8/18/1979

FINRA

Current Firm

MCDERMOTT INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCDERMOTT INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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