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Current Employers
Independence Square Holdings, Llc

150 South Warner Road Suite 300, King Of Prussia, PA 19406 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2020-01-17
  • PA RA
    APPROVED
    Since 2020-01-17

Branch Locations

150 South Warner Road Suite 300, King Of Prussia, PA 19406 • United States

Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2012-08-20
  • PA RA
    APPROVED
    Since 2012-08-20

Branch Locations

Berwyn, PA • United States

150 S Warner Rd Ste 402, King Of Prussia, PA 19406-2859 • 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 King Of Prussia PA 08/2010 Present
Wharton Advisory Group, Llc Wayne PA 10/2002 07/2018
Private Advisor Group, Llc King Of Prussia PA 04/2018 01/2020
The Philadelphia Group King Of Prussia PA 07/2018 08/2019
Independence Square Holdings, Llc King Of Prussia PA 08/2019 Present
Previous Registrations
  • 2018-04-25 → 2020-01-14
    Wayne, PA
    Morristown, NJ
  • 2006-04-28 → 2018-07-19
    The Wharton Advisory Group, Llc
    Wayne, PA
  • 2007-12-14 → 2010-08-23
    Fsc Securities Corporation
    Wayne, PA
    Wayne, PA
  • 2002-11-06 → 2005-12-31
    The Wharton Advisory Group, Llc
    Wayne, PA
Other Businesses

1. 8/29/2013: Wharton Advisory Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) 2. 11/04/2014: Barbara and Mark Comyns - Real Estate Rental - Investment Related - 486 Margo Lane Berwyn Pa 19312 - Start 05/01/1998 - No Time Spent - Rental property located at 100 110th St., Stone Harbor, NJ 3. 11/07/2014: Greenpoint Family Partners LLC - Real Estate Rental - Investment Related - 574 Leonard Street, Brooklyn, NY 11222 - Start 10/01/2014 - 1 Hr/Mo; 0 Hour(s) During Securities Trading 4. 9/26/2016: Joan Comyns Family Trust and the Irrevocable Trust of Joan Comyns - Investment Related - At Reported Business Location(s) - Act in a Fiduciary Capacity - Trustee - Started 01/01/1995 - 1 Hour Per Month During Securities Trading. 5. 11/26/2018 - PENN LEGACY CONSULTANTS - Not Investment Related - At Reported Business Location(s)- Business Entity For Tax/Investment Purposes Only - Started 08/10/2018 - 1 Hour Per Month/0 Hours During Securities Trading. 6. 10/4/2019 - Independence Square Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading. 7. 1/24/2020 - Independence Square Holdings, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 11/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Independence Square Holdings, LLC, an independent investment advisor firm. I started this business activity in 11/2019. I expect to spend approximately 160 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. 8. 1/24/2020 - Independence Square Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 11/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-08-30
  • S63 Uniform Securities Agent State Law Examination
    1983-08-30
Other Names
  • Mark Gerard Comyns

View on SEC IAPD

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