Mark Lott Resigns from Everspire Following Firm Investigation
Mark Lott (CRD #: 5015817), a broker registered with Ameriprise Financial Services, resigned from his previous firm, according to his BrokerCheck record, accessed on July 1, 2022. If you want to know more about Mark Lott’s conduct as a broker, keep reading.
Resignation from Everspire
On April 7, 2022, Mark Lott was permitted to resign from Everspire after a firm investigation allegedly found he assisted an unregistered person, who has a disciplinary history, in the conduct of business and provision of advice to clients in his place.
The investigation also allegedly concluded that Mark Lott failed to provide accurate disclosures to customers and made false and misleading statements in firm records.
The firm is currently conducting an additional investigation as to whether other violations occurred.
FINRA Rules 4511 and 2010
FINRA Rule 4511 requires firms to maintain books and records, with the implicit obligation that these records be accurate.
FINRA Rule 2010 holds members to high standards of professional honor and ethical conduct. Violations of many rules and regulations qualify as automatic violations of this rule.
Mark Lott has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
Mark Lott is a registered broker in 12 states and a registered investment adviser in Texas and Utah.
He has also worked for the following firms:
- Everspire (CRD#:222515)
- MHL Investments (CRD#:2535)
- Wells Fargo Clearing Services (CRD#:19616)
- E*Trade Securities (CRD#:29106)
- Girard Securities (CRD#:18697)
- First Command Financial Planning (CRD#:3641)
- WFG Advisors (CRD#:125073)
- WFG Investments (CRD#:22704)
Kurta Law Can Help
If you worked with Mark Lott and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.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.