Mark L. Kornblau

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CRD#: 1085912

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mark Lewis Kornblau was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

INVESTMENT INDUSTRY CONSULTANT; INVESTMENT-RELATED; FT. COLLINS, CO; CONSULTING; CONSULTANT; 02/2010; 0-2 HRS/MO; 0-2 HRS/MO DURING SECURITIES TRADING HOURS; DUTIES ARE PROVIDE INDUSTRY INSIGHT

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 29, 2020 - June 20, 2023

COSNER FINANCIAL GROUP, LLC

RIA

CRD#: 147942

FORT COLLINS, CO

Past

April 4, 2008 - July 8, 2020

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

FT COLLINS, CO

Past

January 1, 1999 - July 20, 2020

FINANCIAL DESIGN & MANAGEMENT, INC.

RIA

CRD#: 113387

FORT COLLINS, CO

Past

March 1, 1994 - April 24, 2008

OSAIC WEALTH, INC.

CRD#: 23131

FORT COLLINS, CO

Past

September 12, 1988 - March 4, 1994

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 6, 1983 - October 4, 1988

WADDELL & REED

CRD#: 866

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".

COSNER FINANCIAL GROUP, LLC

CRD#: 147942 / SEC#: 801-95177

RIA

Registered Investment Advisory firm - (4/22/2015 Approved)

Colorado

Registered Investment Advisory firm - (5/14/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (5/11/2015 Terminated)

New Mexico

Registered Investment Advisory firm - (5/4/2015 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/1/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/1/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 3/22/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 1/5/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/5/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/28/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/6/1990

General Securities Principal Examination

Current Firm

COSNER FINANCIAL GROUP, LLC

CRD#: 147942 / SEC#: 801-95177

RIA

Registered Investment Advisory firm - (4/22/2015 Approved)

Colorado

Registered Investment Advisory firm - (5/14/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (5/11/2015 Terminated)

New Mexico

Registered Investment Advisory firm - (5/4/2015 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/1/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/1/2015 Terminated)

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Contact information

Main Address

628 Main St, Windsor, CO 80550

Mailing Address

Phone number

(970) 482-3922

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COSNER AMENDED ADV PART 2A FIRM BROCHURE (2/26/2025)

COSNER AMENDED WRAP BROCHURE (2/26/2025)

Regulatory assets under management

Total Number of Accounts	985
AUM (Assets Under Management)	$ 324,481,630

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.

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Advisor Monitoring

Firm Stability Insights

Mark L. Kornblau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GENEOS WEALTH MANAGEMENT, INC.

FINANCIAL DESIGN & MANAGEMENT, INC.

OSAIC WEALTH, INC.

CETERA WEALTH SERVICES, LLC

WADDELL & REED

Primary Firm SEC Registration

COSNER FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/22/1984

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

Series 22

Date: 1/5/1983

Series 6

Date: 1/5/1983

Series 51

Date: 3/28/2003

Series 24

Date: 9/6/1990

Current Firm

COSNER FINANCIAL GROUP, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COSNER FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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