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Mark Monin
45 Years of Experience
Lake Forest, CA
1 DisclosureBroker
Mark Monin is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Lake Forest, CA, with 45 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
1 Orchard Road, Suite 130, Lake Forest, CA, 92630
Get directionsHistory
Regulatory History (1)
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 1999Settled
Other Business Activities
Mark is a Director for El Toro Water District since 2015. He dedicates a few hours per week to this role, serving on the Board of Directors.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
November 2015 - Present · 10 yrs 6 mos
Raymond James Financial Services, INC.Broker
November 2015 - Present · 10 yrs 6 mos
Previous Registrations
Raymond James & Associates, INC.Broker
April 2009 - November 2015 · 6 yrs 7 mos
Raymond James & Associates, INC.
April 2009 - November 2015 · 6 yrs 7 mos
Oppenheimer & CO. INC.Broker
August 2005 - April 2009 · 3 yrs 8 mos
Oppenheimer & CO. INC.
August 2005 - April 2009 · 3 yrs 8 mos
Morgan Stanley
June 1999 - August 2005 · 6 yrs 2 mos
Morgan Stanley Dw INC.Broker
August 1998 - August 2005 · 7 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1994 - August 1998 · 4 yrs 1 mo
Prudential Securities IncorporatedBroker
September 1992 - July 1994 · 1 yr 10 mos
Lehman Brothers INC.Broker
January 1989 - October 1992 · 3 yrs 9 mos
Blinder, Robinson & CO., INC.Broker
January 1981 - February 1989 · 8 yrs 1 mo
State Registrations16 states
AKAZCACOIAILINKYMAMNMONCNVNYTXVA
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.