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Mark Rubin

Raymond James & Associates, INC.
35 Years of Experience
San Rafael, CA
4 DisclosuresBroker
View SEC Summary
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Mark Rubin is a registered investment advisor at Raymond James & Associates, INC., based in San Rafael, CA, with 35 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4000 Civic Center Drive, Suite 500, San Rafael, CA, 94903

Get directions

History

Regulatory History (4)
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
March 2026
Pending
Customer Dispute
June 2024
Settled
Customer Dispute
April 2005
Denied
Customer Dispute
September 2002
Denied
View Full SEC ReportHow to Read Disclosures
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 7 mos
Raymond James & Associates, INC.
March 2016 - Present · 10 yrs 7 mos
Raymond James & Associates, INC.Broker
March 2016 - Present · 10 yrs 7 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - April 2016 · 6 yrs 10 mos
Morgan Stanley
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.
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