MK
MK
Mark Kean
41 Years of Experience
Cary, NC
6 DisclosuresBroker
Mark Kean is a registered investment advisor at Raymond James & Associates, INC., based in Cary, NC, with 41 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
175 Regency Woods Pl, Suite 450, Cary, NC, 27518
Get directionsHistory
Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2016Settled
Customer Dispute
May 2015Settled
Customer Dispute
April 2015Settled
Customer Dispute
March 2005Denied
Customer Dispute
April 1993Settled
Employment Separation After Allegations
January 1989Other Business Activities
Mark owns multiple rental real estate properties, dedicating minimal time to each. He also serves as a trustee for Landmark Free Will Baptist Church, spending minimal time on this role as well.
Employment History
Current Registrations
Raymond James & Associates, INC.
October 2021 - Present · 4 yrs 7 mos
Raymond James & Associates, INC.Broker
October 2021 - Present · 4 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2012 - November 2021 · 9 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2012 - November 2021 · 9 yrs 3 mos
UBS Financial Services INC.Broker
August 2004 - August 2012 · 8 yrs
UBS Financial Services INC.
August 2004 - August 2012 · 8 yrs
Citigroup Global Markets INC.
December 2001 - August 2004 · 2 yrs 8 mos
Citigroup Global Markets INC.Broker
July 1993 - August 2004 · 11 yrs 1 mo
Lehman Brothers INC.Broker
January 1990 - July 1993 · 3 yrs 6 mos
Painewebber IncorporatedBroker
January 1989 - January 1990 · 1 yr
Prudential-Bache Securities INC.Broker
September 1986 - January 1989 · 2 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1984 - October 1986 · 2 yrs 4 mos
State Registrations24 states
AZCACOCTDCFLGAIAMDMEMSNCNJNMNVNYOHPASCTXUTVAVTWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.