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Detailed Report
MARK JAMES SUDOL
CRD#: 1114419
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 6135 S RAINBOW BLVD STE 100
LAS VEGAS, NV 89118
Registration History
1985199019952000200520102015202020254 FIRMS2005 - 2005 (<1 year)2 FIRMS2005 - 2009 (3 years)2 FIRMS2009 - 2016 (7 years)2 FIRMS2016 - 2019 (2 years)2 FIRMS2019 - Present (5 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1999 - 2005 (6 years)BWMA SECURITIES, INC. (CRD# 32625)1998 - 1999 (1 year)BSEIBT FINANCIAL SERVICES, INC (CRD# 23472)1997 - 1998 (<1 year)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1983 - 1997 (14 years)BIDS FINANCIAL SERVICES INC. (CRD# 6320)1983 - 1986 (3 years)IATHE SUDOL GROUP - WEALTH MANAG... (CRD# 158897)2012 - 2014 (2 years)IATHE HOUSEHOLDER GROUP, ESTATE ... (CRD# 107773)2000 - 2005 (5 years)
License(s)

State Registrations

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Arizona 8/15/2019
B
Nevada 8/28/2019
B
California 8/15/2019
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Nevada 8/28/2019
IA
California 8/15/2019
B
New Mexico 8/15/2019
B
Colorado 3/8/2024
B
New York 8/15/2019
B
Florida 8/15/2019
B
Ohio 8/15/2019
B
Hawaii 10/26/2020
B
Oklahoma 3/17/2021
B
Idaho 5/15/2023
B
Oregon 10/26/2020
B
Indiana 1/27/2021
B
South Carolina 8/15/2019
B
Kansas 9/23/2020
B
Tennessee 9/26/2019
B
Kentucky 5/15/2023
B
Texas 8/15/2019
B
Massachusetts 8/15/2019
IA
Texas 8/15/2019
B
Michigan 5/2/2022
B
Washington 8/15/2019

SRO Registrations

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 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
6135 S RAINBOW BLVD STE 100, LAS VEGAS, NV 89118
1025 W 190TH ST STE 120, GARDENA, CA 90248
Registered with this firm since 8/15/2019
B
LPL FINANCIAL LLC (CRD#:6413)
6135 S RAINBOW BLVD STE 100, LAS VEGAS, NV 89118
1025 W 190TH ST STE 120, GARDENA, CA 90248
Registered with this firm since 8/15/2019
Previous Registration(s)
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 11/10/2016 - 08/26/2019 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Gardena, CA
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 11/10/2016 - 08/26/2019 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Gardena, CA
IA
 02/13/2009 - 11/21/2016 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) LAS VEGAS, NV
B
 02/13/2009 - 11/21/2016 NATIONAL PLANNING CORPORATION (CRD#:29604) LAS VEGAS, NV
IA
 01/24/2012 - 11/04/2014 THE SUDOL GROUP - WEALTH MANAGEMENT SPECIALISTS (CRD#:158897) LAS VEGAS, NV
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 10/31/2005 - 02/20/2009 SAGEPOINT FINANCIAL, INC. (CRD#:133763) GARDENA, CA
B
 10/31/2005 - 02/20/2009 SAGEPOINT FINANCIAL, INC. (CRD#:133763) GARDENA, CA
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 02/28/2000 - 11/08/2005 THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS (CRD#:107773) LAS VEGAS, NV
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 09/02/2005 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) LAS VEGAS, NV
B
 09/02/2005 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
IA
 08/19/2005 - 09/09/2005 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) LAS VEGAS, NV
B
 08/19/2005 - 09/09/2005 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) FORT MILL, SC
B
 07/27/1999 - 08/26/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
 06/15/1998 - 08/25/1999 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
B
 08/07/1997 - 07/16/1998 SEIBT FINANCIAL SERVICES, INC (CRD#:23472) LAS VEGAS, NV
B
 05/05/1983 - 07/25/1997 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 05/05/1983 - 12/24/1986 IDS FINANCIAL SERVICES INC. (CRD#:6320)
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.