MR
MR
Mark Rubin
35 Years of Experience
San Rafael, CA
3 DisclosuresBroker
Mark Rubin is a registered investment advisor at Raymond James & Associates, INC., based in San Rafael, CA, with 35 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
San Rafael, CA
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Regulatory History (3)
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
June 2024Settled
Customer Dispute
April 2005Denied
Customer Dispute
September 2002Denied
Other Business Activities
Mark is involved with Martin8Designs LLC as a real estate broker/agent or developer since 2020. He dedicates minimal time to this business, and it is not investment-related.
Employment History
Current Registrations
Raymond James & Associates, INC.
March 2016 - Present · 10 yrs 6 mos
Raymond James & Associates, INC.Broker
March 2016 - Present · 10 yrs 6 mos
Raymond James & Associates, INC.
March 2016 - Present · 10 yrs 6 mos
Previous Registrations
Morgan Stanley
June 2009 - April 2016 · 6 yrs 10 mos
Morgan StanleyBroker
June 2009 - April 2016 · 6 yrs 10 mos
Citigroup Global Markets INC.
March 1997 - June 2009 · 12 yrs 3 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
December 1991 - July 1993 · 1 yr 7 mos
Ampal Securities CorporationBroker
March 1989 - December 1989 · 9 mos
State Registrations23 states
AZCACOCTFLILMAMDMEMIMONCNJNMNVNYORPASCTNTXWAWI
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.