Mark Ferrer Fired from Raymond James Financial Services Over Alleged Policy Violations

Mark Ferrer (CRD #: 1053006), a broker registered with Commonwealth Financial Network, was fired from his previous firm following alleged policy violations, according to his BrokerCheck record, accessed on June 8, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Termination from Raymond James Financial Services

On April 3, 2023, Mark Ferrer was fired from Raymond James Financial Services following allegations that he violated firm policies with regard to advising about products not sponsored by the firm.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Mark Ferrer has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• Series 62 – Corporate Securities Limited Representative Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 10 – General Securities Sales Supervisor – General Module Examination
• Series 9 – General Securities Sales Supervisor – Options Module Examination

Mark Ferrer is a registered broker in 17 states and a registered investment adviser in North Carolina.

He has also worked for the following firms:

• Raymond James Financial Services Advisors (CRD#:149018)
• Raymond James Financial Services (CRD#:6694)
• Wachovia Securities (CRD#:19616)
• First Albany Corporation (CRD#:298)

Kurta Law Can Help

If you worked with Mark Ferrer and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.