Individual Firm
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MARK STEPHAN TRIMMER
CRD#: 1396130
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 10211 MONTGOMERY AVENUE
SUITE 4
ALBUQUERQUE, NM 87111
SUITE 4
ALBUQUERQUE, NM 87111
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 10211 MONTGOMERY BLVD NE
SUITE 4
ALBUQUERQUE, NM 87111
SUITE 4
ALBUQUERQUE, NM 87111
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12/6/2023
Judgment / Lien
6/7/2022
Judgment / Lien
10/30/2018
Judgment / Lien
9/6/2012
Judgment / Lien
1/19/2011
Judgment / Lien
11/23/2009
Customer Dispute
Settled
State Registrations
B
Alaska 10/30/2024
B
Kansas 1/2/2025
B
Arizona 9/13/2019
B
New Mexico 9/13/2019
B
California 12/9/2019
IA
New Mexico 9/16/2019
B
Colorado 9/20/2019
B
North Carolina 4/23/2021
B
Florida 2/11/2021
IA
Texas 9/13/2019
B
Idaho 11/26/2024
B
Texas 9/16/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/13/2019
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Registered with this firm since 9/13/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/23/2011 - 09/25/2019 | ALBUQUERQUE, NM | |
B | 09/23/2011 - 09/25/2019 | ALBUQUERQUE, NM | |
IA | 01/02/2009 - 09/22/2011 | ALBUQUERQUE, NM | |
B | 03/04/2002 - 09/22/2011 | ALBURQUERQUE, NM | |
IA | 03/26/2002 - 01/02/2009 | ALBURQUERQUE, NM | |
B | 06/07/1993 - 03/13/2002 | HARTFORD, CT | |
B | 11/05/1992 - 06/07/1993 | HARTFORD, CT | |
B | 08/11/1987 - 02/21/1991 | SANTA FE, NM | |
B | 08/21/1985 - 10/21/1985 |
ALBUQUERQUE, NM
01/02/2009 - 09/22/2011
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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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.