Mark Steven Rathjen

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2017 → 04/2019
  Lpl Financial Llc
  Garden City, NY
• 11/2017 → 02/2023
  Bridgehampton National Bank
  Garden City, NY
• 01/2021 → 02/2023
  Roberts & Ryan Investments, Inc.
  New York, NY
• 02/2023 → Present
  Lpl Financial Llc
  Melville, NY
• 02/2023 → Present
  Prospect Financial Services Llc
  Melville, NY
• 12/2015 → 02/2023
  Draper Asset Management
  Smithtown, NY

Other Businesses

1) 2/7/2023 - Prospect Financial Services LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) Start Date - 10/21/2022 - 8 Hours Per Month/160 Hours During Securities Trading - Time Spent 100% 2) 2/7/2023 - Real Estate Rental - owner - 550 Okeechhobee, West Palm Beach, FL 33401 - Investment related - Start date: 06/01/2010. 3) 2/14/2023 - Prospect Financial Services LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 8 Hours Per Month/6.5 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Prospect Financial Services, LLC, an independent investment advisor firm. I started this business activity in 02/2023. I expect to spend approximately 8 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 04/21/2023 - Next Gen Tests - Not Investment Related - Home Based - Other - Business Owner - Owner - Start Date 04/25/2023 - 4 Hours Per Month/0 Hours During Securities Trading 5) 04/21/2023 - MSR Asset Management - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Owner - Start Date 02/24/2023 - 2 Hours Per Month/0 Hours During Securities Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-01-17
• S63 Uniform Securities Agent State Law Examination
  1997-01-06