Mark J. Schmerge

SCHMERGE EXECUTIVE PLANNING SERVICES

Cincinnati, OH 45203

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CRD#: 1025553

Professional summary

Mark Joseph Schmerge is a registered financial advisor currently at SCHMERGE EXECUTIVE PLANNING SERVICES, INC. located in Cincinnati, Ohio and FORTUNE FINANCIAL SERVICES, INC. located in Cincinnati, Ohio.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Mark has worked at 8 firms and has passed the Series 63, SIE, Series 62, Series 22, Series 6 and Series 26 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.

INDEPENDENT INSURANCE AGENT & LICENSED REGISTERED INVESTMENT ADVISOR (RIA) PRESIDENT OF SCHMERGE EXECUTIVE PLANNING SERVICES, INC. Representative has rental property and receives passive income from it

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Joseph Schmerge'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®

None

Experience

Current

September 19, 2006 - Present

SCHMERGE EXECUTIVE PLANNING SERVICES, INC.

Office #1: 700 W. Pete Rose Way Suite 5d, Cincinnati, OH 45203Office #2: 700 W. Pete Rose Way, Cincinnati, OH 45203

RIA

CRD#: 120059

Cincinnati, OH

Current

November 8, 2012 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 700 West Pete Rose Way Suite 127, Cincinnati, OH 45203

CRD#: 42150

Cincinnati, OH

Past

December 22, 1999 - November 1, 2012

REGIONAL INVESTMENT SERVICES, INC.

CRD#: 46929

CINCINNATI, OH

Past

December 17, 1997 - January 4, 2000

ALPHA-OMEGA CAPITAL CORP

CRD#: 37533

NORWOOD, OH

Past

June 12, 1996 - January 1, 1998

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

April 11, 1989 - June 18, 1996

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

February 23, 1988 - April 24, 1989

KAVANAUGH SECURITIES, INC.

CRD#: 10606

Past

March 2, 1982 - February 27, 1988

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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.

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

California
(3/5/2014)

Florida
(9/14/2013)

Indiana
(9/16/2013)

IAR

Kentucky
(2/22/2007)

Kentucky
(12/18/2023)

Louisiana
(2/26/2015)

IAR

Michigan
(2/6/2020)

Michigan
(1/3/2024)

IAR

Ohio
(9/19/2006)

Ohio
(11/8/2012)

South Carolina
(4/22/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/11/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 6/2/1989

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 3/9/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/16/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/19/1996

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

SCHMERGE EXECUTIVE PLANNING SERVICES, INC.

SCHMERGE EXECUTIVE PLANNING SERVICES, INC. | SCHMERGE, MARK JOSEPH

CRD#: 120059 / SEC#:

Kentucky

Registered Investment Advisory firm - (2/22/2007 Approved)

Michigan

Registered Investment Advisory firm - (2/6/2020 Approved)

Ohio

Registered Investment Advisory firm - (11/4/1999 Approved)

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Contact information

Main Address

700 W. Pete Rose Way Suite 5d, Cincinnati, OH 45203

Mailing Address

Phone number

(513) 241-2110

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	81
AUM (Assets Under Management)	$ 48,964,863

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Mark J. Schmerge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Joseph Schmerge's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

REGIONAL INVESTMENT SERVICES, INC.

ALPHA-OMEGA CAPITAL CORP

SECURITIES AMERICA, INC.

VESTAX SECURITIES CORPORATION

KAVANAUGH SECURITIES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/11/1982

SIE

Date: 10/1/2018

Series 62

Date: 6/2/1989

Series 22

Date: 3/9/1982

Series 6

Date: 2/16/1982

Series 26

Date: 9/19/1996

FINRA

Current Firm

SCHMERGE EXECUTIVE PLANNING SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SCHMERGE EXECUTIVE PLANNING SERVICES, INC.

TRUST BUT VERIFY

Contact information

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