Role at Orion Portfolio Solutions
- Title on Schedule A
- Chief Compliance Officer
- Control
- Mark Audrain is a control person of Orion Portfolio Solutions.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Mark Audrain has held the filed role since September 2023.
The firm
Form ADV filed 31 July 2026
Career on record
Mark Audrain has been registered through Orion Portfolio Solutions since June 2023, and before that through Communityamerica Financial Solutions, LLC.
- Passed Series 27 · 2024
- – present · 3 yearsOmaha, NE · Adviser representative · Firm CRD 107975
- Passed Series 14 and Series 99TO · 2023
- Passed Series 24, Series 66 and Series 53 · 2019
- Communityamerica Financial Solutions, LLC– · 2 yearsLenexa, KS · Adviser representative · Firm CRD 168203
Registrations and exams
Mark Audrain has a current investment-adviser registration in Nebraska and Texas and has passed 6 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Nebraska | Investment adviser representative | Approved | 9 June 2023 |
| Texas | Investment adviser representative | Approved, resident | 10 June 2024 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved, resident
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 13 June 2019 |
| Series 27 | Financial and Operations Principal Examination | 2 February 2024 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 53 | Municipal Securities Principal Examination | 5 September 2019 |
| Series 24 | General Securities Principal Examination | 20 March 2019 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
- Name
- Uniform Combined State Law Examination
- Name
- Financial and Operations Principal Examination
- Name
- Compliance Officer Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
Individual record
- Full name
- Mark Andrew Audrain
- CRD
- 7046010
- Registration status
- Investment adviser and broker registrations
- Office
- 17605 WRIGHT ST, Omaha, NE 68130
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Mark Audrain work?
Mark Audrain has been Chief Compliance Officer of Orion Portfolio Solutions, LLC since September 2023, and is a control person of the firm.
Is Mark Audrain a financial advisor?
Yes. Mark Audrain has a current investment-adviser registration in Nebraska and Texas, through Orion Portfolio Solutions since June 2023, as of 18 October 2026.
How many years of experience does Mark Audrain have?
Mark Audrain has worked in the financial industry for 7 years as of 18 October 2026, counted from 27 February 2019, across 2 adviser firms.
What exams has Mark Audrain passed?
Mark Audrain has passed 6 licensing exams: the Series 24, Series 66, Series 53, Series 14, Series 99TO and Series 27. The earliest, the Series 24, was passed in March 2019.
Where did Mark Audrain work before Orion Portfolio Solutions?
Before Orion Portfolio Solutions, Mark Audrain was registered through Communityamerica Financial Solutions, LLC, June 2019 to April 2021.
Where is Mark Audrain based?
Mark Audrain’s registered office is in Omaha, NE.
Leadership at Orion Portfolio Solutions
- Ronald PruittPresident
- Mark MayoChief Financial Officer
- Kylee BeachChief Legal Officer/Secretary
- Michael ForkerEVP, Operations