Mark A. Cade

CADE GROUP | Branch Manager

Carmel, IN 46290-1140

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CRD#: 1163639

Professional summary

Mark Aaron Cade, CFP® is a registered financial advisor currently at CADE GROUP, INC. located in Carmel, Indiana and RAYMOND JAMES FINANCIAL SERVICES, INC. located in Bonita Springs, Florida.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

What are your service offerings?

Long-term Care

Retirement Planning

Social Security Planning

Investment Planning

Retirement Income Management

Comprehensive Financial Planni...

Insurance Planning

What is your minimum asset requirement?

100K

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)Name of Business: Cade and Lee Address: 9950 East Haven Lane, Apt A, Carmel, IN, 46280, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 01/13/2010 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Group Health Insurance / Employee Benefits (2)Name of Business: Cade Group Inc. Address: 10293 North Meridian. Suite 265, Carmel, IN, 46290, United States Activity Type: Independent RIA Position/Title: Advisor, Officer - President Investment Related: Yes Start Date: 04/01/1997 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Manage clients portfolios on a discretionary basis approved by Raymond James

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Aaron Cade'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®

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Current

January 20, 1999 - Present

CADE GROUP, INC.

Office #1: 10293 North Meridian Street Suite 265, Carmel, IN 46290-1140

RIA

CRD#: 114970

Carmel, IN

Current

April 9, 2003 - Present

RAYMOND JAMES FINANCIAL SERVICES, INC.

Office #2: 10293 N Meridian Suite 265, Carmel, IN 46290

CRD#: 6694

Bonita Springs, FL

Past

November 10, 1995 - April 17, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 25, 1995 - November 6, 1995

BOLTON GLOBAL CAPITAL

CRD#: 15650

BOLTON, MA

Past

August 24, 1994 - May 31, 1995

FOUNDATION INVESTORS SECURITIES CORP.

CRD#: 35541

Past

August 13, 1990 - September 3, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 28, 1986 - July 10, 1990

PW SECURITIES, INC.

CRD#: 6775

Past

October 20, 1983 - March 17, 1986

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

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

Arizona
(7/15/2025)

Florida
(4/9/2003)

IAR

Indiana
(1/20/1999)

Indiana
(4/9/2003)

Ohio
(1/2/2024)

Texas
(12/12/2017)

IAR

Texas
(4/16/2018)

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: 8/29/1986

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: 8/15/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/18/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 1/30/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CADE GROUP, INC.

CADE GROUP, INC. | VERO WEALTH | THE FINANCIAL JUNCTION

CRD#: 114970 / SEC#: 801-67664

RIA

Registered Investment Advisory firm - (6/28/2012 Terminated)

Indiana

Registered Investment Advisory firm - (6/27/2012 Approved)

Texas

Registered Investment Advisory firm - (3/23/2016 Conditional Restricted)

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).

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Contact information

Main Address

10293 North Meridian Street Suite 265, Carmel, IN 46290-1140

Mailing Address

Phone number

(317) 848-7110

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	282
AUM (Assets Under Management)	$ 73,000,000

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Mark A. Cade

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Aaron Cade's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

BOLTON GLOBAL CAPITAL

FOUNDATION INVESTORS SECURITIES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PW SECURITIES, INC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 8/29/1986

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1987

Series 6

Date: 10/18/1983

Series 51

Date: 1/30/2004

Series 24

Date: 6/23/1997

FINRA

Current Firm

CADE GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CADE GROUP, INC.

TRUST BUT VERIFY

Contact information

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