Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Allen Lewis is a financial professional with over 20 years of experience in the industry. Mark is currently registered with Raymond James & Associates, Inc. and has been a part of the company since October 2019. Prior to that, Mark held positions with J.P. Morgan Securities LLC and Charles Schwab & Co., Inc. Mark has a broad range of experience and holds several licenses including Series 3, 4, 7, 9, 10, 24 and 66.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
10/09/2019 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
NY
01/11/2016 - 05/09/2019
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
OH
12/16/1997 - 12/22/2015
CHARLES SCHWAB & CO., INC. (COLUMBUS OH)
BOTH
Issued 12/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/22/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/09/2012
Series 4 - Registered Options Principal Examination
BC
Issued 08/09/2011
Series 24 - General Securities Principal Examination
BC
Issued 02/08/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/01/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2013
Series 3 - National Commodity Futures Examination
BC
Issued 12/12/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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