James Patrick Mark

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-12-01
NY	RA	APPROVED	2021-11-23

TX RA
APPROVED

Since 2021-12-01
NY RA
APPROVED

Since 2021-11-23

Branch Locations

1212 Route 25A, Ste. 3, Stony Brook, NY 11790 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Stony Brook	NY	04/2020	Present
Allstate	Farmingville	NY	08/2001	04/2020

04/2020 → Present

Lpl Financial Llc

Stony Brook, NY
08/2001 → 04/2020

Allstate

Farmingville, NY

Other Businesses

1)02/04/2020 - CONSCIENCE BAY CAPITAL, INC. - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 04/2020 - 50 hr/mth 2)02/04/2020 - MARK PROTECTION TRUST - Act in a Fiduciary Capacity - inv rel - at reported business location(s) - start: 03/2018

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-11-23

S66 Uniform Combined State Law Examination

2021-11-23

View on SEC IAPD