Mark Chafee has been an investment adviser representative at Brown, Lisle/Cummings since September 2009, and is not listed among the firm’s executive officers or direct owners. Mark Chafee holds an MBA from Babson College. Mark Chafee studied at Middlebury College.
Brown, Lisle/Cummings, Inc. is a Providence, RI firm with $487M under management, 238 clients and 8 advisers in one office, as of its June 2026 filing.
Mark H. Chafee is Financial Advisor of Brown Lisle Cummings. He joined the firm in 2009. His career includes stints in banking, management consulting and financial management in several small companies.
Investment adviser representative registrations
Mark Chafee is registered as an investment adviser representative in Rhode Island, since September 2009.
- Rhode IslandSince 15 September 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 14 September 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 August 2009 |
| Series 7 | General Securities Representative Examination | 7 July 2009 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 April 1987 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Mark Harriman Chafee
- CRD
- 1643951
- Firm
- Brown, Lisle/Cummings · CRD 1331
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 2008
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- brownlc.com
Where does Mark Chafee work?
Mark Chafee is an investment adviser representative registered through Brown, Lisle/Cummings, Inc. since September 2009, and is not listed among the firm’s executive officers or direct owners.
Is Mark Chafee a financial advisor?
Yes. Mark Chafee has a current investment-adviser registration in Rhode Island, through Brown, Lisle/Cummings since September 2009.
How many years of experience does Mark Chafee have?
Mark Chafee has 18 years in the financial industry, since March 2008, across 1 adviser firm.
What exams has Mark Chafee passed?
Mark Chafee has passed 4 licensing exams: the Series 6, Series 7, Series 63 and Series 65. The earliest, the Series 6, was passed in April 1987. FINRA credited Mark Chafee with the SIE, which began in October 2018.
Is Mark Chafee registered with FINRA?
Yes. Mark Chafee has a current broker registration, under CRD 1643951.
Source: FINRA BrokerCheck
How can I verify Mark Chafee’s record?
Search CRD 1643951 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Mark Chafee’s full registration record.