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Stephen Philip Mark

Investment Adviser Representative at EMERSON EQUITY LLC

San Francisco, CACRD #2518425Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
23 yrs
States Registered
5 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Stephen Philip Mark has worked in the securities industry since 2003. They are registered to provide investment advisory services in California, Florida, Massachusetts, Virginia, and Washington.

Registrations & licenses

Registration type
Dual-registered
Registered in 5 states
CaliforniaFloridaMassachusettsVirginiaWashington
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 7/19/2019
Series 65
Uniform Investment Adviser Law Examination
Passed 8/27/2007
Series 79
Investment Banking Registered Representative Examination
Passed 11/26/2019
Series 7
General Securities Representative Examination
Passed 3/3/1999
Series 24
General Securities Principal Examination
Passed 7/2/2019

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.025
Source

Emerson Equity LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

SPM ADVISORS, LLCCurrent
10/4/2007San Francisco, CA
THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES
9/27/200410/11/2005Redlands, CA
BANC OF AMERICA SECURITIES LLC
12/14/200010/8/2002New York, NY
HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL
1/5/200012/18/2000Los Angeles, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stephen Philip Mark has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Stephen Philip Mark - Financial Advisor in San Francisco, CA | AdvisorFinder