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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-02-03
GA RA APPROVED 2007-03-15
  • FL RA
    APPROVED
    Since 2025-02-03
  • GA RA
    APPROVED
    Since 2007-03-15

Branch Locations

Jacksonville Beach, FL • United States

422 Jacksonville Dr Ste C, Jacksonville Beach, FL 32250 • 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
OrganizationCityStateFromTo
Lpl Financial Llc Suwanee GA 03/2007 Present
Previous Registrations
  • 2004-07-12 → 2007-03-14
    Banc Of America Investment Services, Inc.
    Duluth, GA
    Duluth, GA
    Alpharetta, GA
    Lawrenceville, GA
    Lilburn, GA
    Lawrenceville, GA
Other Businesses

1. 1/26/2007 - De Maine Wealth Management, LLC - DBA: De Maine Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 1/8/2008 - De Maine Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 5% - Offer health insurance.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-09
S63 Uniform Securities Agent State Law Examination 2002-02-22
  • S66 Uniform Combined State Law Examination
    2004-07-09
  • S63 Uniform Securities Agent State Law Examination
    2002-02-22
Other Names
  • Mark Matthew De Maine

View on SEC IAPD

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