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Detailed Report
MARK ANDREW TUDOR
CRD#: 2842516
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20002002200420062008201020122014201620182020IACOLLABORATIVE WEALTH (CRD# 142106)2018 - 2019 (<1 year)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2014 - 2018 (4 years)IARAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2013 - 2014 (1 year)IAMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2009 - 2013 (3 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2000 - 2009 (8 years)
Disclosure(s)
View By:
12/19/2018
Regulatory
Final
10/23/2018
Employment Separation After Allegations
9/28/2018
Customer Dispute
Settled
12/15/2008
Customer Dispute
Denied
3/13/2007
Customer Dispute
Denied
Previous Registration(s)
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 10/31/2018 - 07/11/2019 COLLABORATIVE WEALTH (CRD#:142106) Lake Mary, FL
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 07/14/2014 - 10/31/2018 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) LAKE MARY, FL
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 02/13/2013 - 06/17/2014 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) WINTER PARK, FL
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 03/30/2009 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) WINTER PARK, FL
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 10/01/2000 - 03/17/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) ORLANDO, FL
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.