MC
Mark F. Cavalier
ASHTON THOMAS PRIVATE WEALTH
SAN FRANCISCO, CA 94104
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CRD#: 1011875
MC
Professional summary
Mark Francis Cavalier is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in San Francisco, California and ASHTON THOMAS SECURITIES, LLC located in San Francisco, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Mark has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)CAVALIER EQUESTRIANS LLC, INV RELATED, KENTFIELD, CA, 100% OWNERSHIP WITH SPOUSE, START 3/15/2018, 10 HOURS PER MONTH, ZERO DURING TRADING, ACQUIRE TRAIN SHOW AND SELL RACE HORSES. 2) SALON HQ; YES, INVESTMENT-RELATED; 156 2ND STREET, SAN FRANCISCO, CA 94105; E-COMMERCE BUSINESS IN THE SALE, FULFILLMENT, AND DELIVERY OF SALON PRODUCTS TO SALON OPERATORS, DISTRIBUTORS, AND CONSUMERS; INVESTOR; 5/30/2017; 1 HOUR/MONTH; 0 HOURS DURING TRADING HOURS. 3) ASHTON THOMAS PRIVATE WEALTH, LLC; YES, INVESTMENT RELATED; 8605 EAST RAINTREE DRIVE, SUITE 280, SCOTTSDALE, AZ 85260; INVESTMENT ADVISORY FIRM; INVESTMENT ADVISOR; 1/16/2025; 40 HOURS/WEEK.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Francis Cavalier's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 16, 2025 - Present
ASHTON THOMAS PRIVATE WEALTH
Office #1: 580 California Street Suite 700, San Francisco, CA 94104RIA
CRD#: 153902
SAN FRANCISCO, CA
Current
January 16, 2025 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 580 California Street Suite 2000, San Francisco, CA 94104RIA
BD
CRD#: 16629
San Francisco, CA
Past
January 3, 2011 - January 22, 2025
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN FRANCISCO, CA
Past
January 3, 2011 - January 22, 2025
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN FRANCISCO, CA
Past
May 15, 2001 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SAN FRANCISCO, CA
Past
May 2, 2001 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
October 3, 1996 - May 2, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
December 20, 1995 - October 1, 1996
MONEY MARKET 1 INSTITUTIONAL INVESTMENT DEALER
BD
CRD#: 39153
SAUSALITO, CA
Past
July 31, 1993 - March 5, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 24, 1992 - April 21, 1993
LEHMAN SPECIAL SECURITIES INC.
BD
CRD#: 7242
Past
July 24, 1992 - April 21, 1993
LEHMAN GOVERNMENT SECURITIES INC.
BD
CRD#: 19655
Past
April 13, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
Past
March 29, 1983 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 29, 1981 - February 25, 1983
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/16/2025)
RR
Arkansas(1/16/2025)
RR
California(1/16/2025)
IAR
California(1/17/2025)
RR
Colorado(1/16/2025)
RR
Connecticut(1/16/2025)
RR
Delaware(1/16/2025)
RR
District of Columbia(1/16/2025)
RR
Florida(1/16/2025)
RR
Georgia(1/16/2025)
RR
Hawaii(1/21/2025)
RR
Idaho(1/16/2025)
RR
Illinois(1/16/2025)
RR
Indiana(1/16/2025)
RR
Iowa(1/16/2025)
RR
Kansas(1/16/2025)
RR
Kentucky(1/16/2025)
RR
Maryland(1/16/2025)
RR
Massachusetts(1/16/2025)
RR
Michigan(1/16/2025)
RR
Minnesota(1/23/2025)
RR
Mississippi(1/16/2025)
RR
Missouri(1/16/2025)
RR
Montana(1/16/2025)
RR
Nevada(1/16/2025)
RR
New Jersey(1/16/2025)
RR
New York(1/16/2025)
RR
North Carolina(1/16/2025)
RR
Ohio(1/16/2025)
RR
Oregon(1/16/2025)
RR
Pennsylvania(1/16/2025)
RR
Rhode Island(1/16/2025)
RR
South Carolina(1/16/2025)
RR
South Dakota(1/16/2025)
RR
Texas(1/16/2025)
IAR
Texas(1/16/2025)
RR
Utah(1/16/2025)
RR
Vermont(1/16/2025)
RR
Virginia(1/16/2025)
RR
Washington(1/16/2025)
RR
Wisconsin(1/16/2025)
RR
Wyoming(1/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/16/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 732-4745
Established
Firm type
Fiscal year end
# of Employees
114
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,733 |
| AUM (Assets Under Management) | $ 4,051,333,740 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
