Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Neale Tompkins is a financial advisor with over 23 years of experience in the industry. Mark is currently registered as a broker and investment advisor representative with Steward Partners Investment Advisory, LLC. Mark has worked with a number of firms throughout their career including LPL Financial LLC, Cetera Investment Services LLC, AFS Brokerage, Inc., Wachovia Securities, LLC, Banc of America Investment Services, Inc., Pruco Securities Corporation, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and BA Investment Services, Inc.. Mark has a Series 6, 7, 63, and 65 licenses and is a member of FINRA and the SEC. Mark specializes in working with high-net-worth individuals, corporations or other businesses, pension and profit-sharing plans, and charitable organizations.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Financial consulting
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.
A percentage of the total value of assets under management is charged.
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2
WA
05/01/2023 - Present
Steward Partners Investment Advisory, LLC (KENNEWICK WA)
OR
11/25/2013 - 09/09/2015
LPL FINANCIAL LLC (BEND OR)
OR
10/01/2007 - 11/25/2013
CETERA INVESTMENT SERVICES LLC (BEND OR)
OR
10/30/2006 - 10/01/2007
AFS BROKERAGE, INC. (BEND OR)
OR
05/31/2005 - 06/02/2006
WACHOVIA SECURITIES, LLC (PORTLAND OR)
MA
11/29/2004 - 01/21/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NJ
05/07/2002 - 09/15/2003
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NY
02/09/1998 - 04/03/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
10/23/1997 - 02/12/1998
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BC
Issued 12/22/2004
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/10/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/2000
Series 7 - General Securities Representative Examination
BC
Issued 10/22/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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