Mark Stephen Durfee
Financial advisor at Lpl Financial LLC · Knoxville, TN
Last updated 2026-10-10
Claim your profileMark Stephen Durfee is a financial advisor at Lpl Financial LLC in Knoxville, TN, CRD 2313023. Licenses and exams on the registration: Series 63, Series 66. IAPD registration began 2008-08-26.
Registration
- CRD number
- 2313023
- Registration status
- Active
- IAPD registration
- 2008-08-26
- Industry Experience
- 18 years
- Work Experience
- 30 years
- States registered
- TN, TX
Licenses and exams
- Series 63
- Series 66
Work history
- 1996-05 to Present · Bob Johnson Insurance Inc. · Knoxville, TN
- 2009-01 to 2023-09 · Sagepoint Financial, Inc · Mooresville, NC
- 2023-09 to 2023-12 · Osaic Wealth, Inc. · Knoxville, TN
- 2023-12 to Present · Lpl Financial LLC · Knoxville, TN
Current employment
- Lpl Financial LLC · Fort Mill, SC
Lpl Financial LLC
- Regulatory AUM
- $819,117,829,825
- Registered advisors
- 23,458
- Offices
- 23,296
- Clients per advisor
- 84.7 (Moderate)
- Average AUM per client
- $412.2K (Low)
- High-net-worth client ratio
- 33.8% (Moderate)
Lpl Financial LLC: advisors, services and reported ETF investments
About
Mark Stephen Durfee is a financial advisor at Lpl Financial LLC in Knoxville, TN. Reported securities licenses include Series 63 and Series 66. The latest record indicates 18 years of industry experience and 30 years of reported work history. Reported roles include Bob Johnson Insurance Inc., Osaic Wealth, Inc., Sagepoint Financial, Inc.
SEC disclosures list additional business and community activities: 1) 11/16/2023 - Durfee Financial Services - Business Entity For Tax/investment Purposes Only - Tn 37918 - Non Investment Related - 20 Hours Per Month - Start Date: 5/1/1996: 2) 11/16/2023 - selling football cards on ebay - tn 37938 - non investment related - 4 hours per month - start date: 9/11/2014; 3) 11/20/2025 - vanbridge - non-variable insurance - agent - investment related - at reported business location(s) - start date 01/01/2004 - 7 hours per month/ during trading 4) 11/20/2025 - bob johnson insurance inc - non-variable insurance - agent - investment related - at reported business location(s) - start date 05/01/1996 - 1 hour per month/ during trading.
Lpl Financial LLC's firm-level Form ADV reports 23,458 advisors across 23,296 offices; approximately 84.7 clients per advisor, average assets per client of $412,241, and regulatory AUM of $819.1B; client categories including Individuals (non-HNW), High net worth individuals, Pension and profit-sharing plans, Charitable organizations, State or municipal government entities, Corporations or other businesses; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Educational Seminars or Workshops, Other Advisory Service.
PortfolioFuture's firm-level 13F analysis covers $318.3B across 1,914 reported ETF positions for the 2026-06-30 reporting period. These are firm-level disclosures, not investments attributed to Mark Stephen Durfee personally.
Reported ETF positions
LPL Financial reports 1,914 ETF positions worth $318.3B on Form 13F; the largest are listed.
| Fund | Reported value |
|---|---|
| IVV — iShares Core S&P 500 ETF | $11.1B |
| QQQ — Invesco QQQ Trust, Series 1 | $7.8B |
| SPY — SPDR S&P 500 ETF TRUST | $7.4B |
| SPYM — State Street SPDR Portfolio S&P 500 ETF | $5.6B |
| SPYG — State Street SPDR Portfolio S&P 500 Growth ETF | $4.8B |
Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
Noteworthy reported investments
LPL Financial's strongest reported position on each research ranking. Institution-level evidence, not this advisor's or any client's holding.
| Ranking | Fund | Reported value | Percentile | Key figures |
|---|---|---|---|---|
| Similar Fund Ranking | CGDV — Capital Group Dividend Value ETF | $4B | Top 99.9% | Peer conviction 86.4% · Active return +5.44% |
| Addressable Market | DYNF — iShares U.S. Equity Factor Rotation Active ETF | $3.3B | Top 99.9% | Addressable AUM $14.9T · Peer conviction 86.8% |
| Residual Alpha | CORO — iShares International Country Rotation Active ETF | $471.6M | Top 99.8% | Residual alpha +5.96% · Residual Sharpe 0.24 |
| Diversification Benefits | IALT — iShares Systematic Alternatives Active ETF | $609.6M | Top 99.4% | Replicability (R²) 33.8% · Residual Sharpe 1.52 |
Historical comparisons from the published research release formed 2026-10-02; not forecasts or recommendations. Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
What this firm offers
Filed by Lpl Financial LLC on Form ADV.
Client services
- Financial Planning Services
- Individuals and Small Businesses
- Businesses or Institutional Clients
- Educational Seminars or Workshops
- Other Advisory Service
Fee options
- Percentage of Assets Under Management
- Hourly Charges
- Fixed Fees (Other Than Subscription)
Business and affiliations
- Broker-Dealer (Registered or Unregistered)
- Other Financial Product Salesperson
- Engaged in Other Business
- Sells Non-Advisory Products or Services
- Broker-Dealer or Municipal Securities Dea
- Other Investment Adviser (Incl. Financial
- Banking or Thrift Institution
- Insurance Company or Agency
Location
7121 Afton Dr, Knoxville, TN 37918
3 advisors at this office.
Contact
The firm's filed contact details.
Official record
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