Mark A. Lantz

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CRD#: 1147161

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 Alan Lantz was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 12, Series 53, Series 4 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.

The advisor shows no other business activity.

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

August 13, 2008 - March 7, 2022

FISHER INVESTMENTS

RIA

CRD#: 107342

BEND, OR

Past

May 9, 2003 - October 25, 2007

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

NAPA, CA

Past

May 9, 2003 - October 25, 2007

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

June 28, 2002 - April 30, 2003

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

PORTLAND, OR

Past

June 13, 2002 - April 30, 2003

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

October 5, 2000 - June 18, 2002

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

January 4, 1999 - October 10, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 3, 1997 - January 8, 1999

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

April 28, 1986 - September 3, 1997

U.S. BANCORP SECURITIES

CRD#: 17439

PORTLAND, OR

Past

November 6, 1984 - June 7, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

Past

July 19, 1983 - October 29, 1984

A. G. EDWARDS & SONS, INC.

CRD#: 4

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".

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

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

IAR

Series 65

Date: 10/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 12

Date: 11/6/1998

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 53

Date: 12/20/1990

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/30/1990

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/19/1989

General Securities Principal Examination

Current Firm

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

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Contact information

Main Address

6500 International Pkwy Ste 2050, Plano, TX 75093-8222

Mailing Address

Phone number

(800) 851-8845

Established

Firm type

Fiscal year end

# of Employees

4,065

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT (9/10/2025)

CANADA PRIVATE CLIENT (2/5/2025)

UNITED KINGDOM PRIVATE CLIENT (2/5/2025)

INSTITUTIONAL (2/5/2025)

Regulatory assets under management

Total Number of Accounts	360,116
AUM (Assets Under Management)	$ 298,729,428,900

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 A. Lantz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

WAMU INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP SECURITIES

LEHMAN BROTHERS INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

FISHER INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/1999

Series 63

Date: 8/9/1983

Series 7

Date: 6/18/1983

Series 12

Date: 11/6/1998

Series 53

Date: 12/20/1990

Series 4

Date: 5/30/1990

Series 24

Date: 6/19/1989

Current Firm

FISHER INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FISHER INVESTMENTS

TRUST BUT VERIFY

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