Mark E. Sirotnak
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 Eugene Sirotnak, CFP®, who also goes by Mark E Sirotnak, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1992
Experience
October 3, 2022 - January 16, 2025
AVANTAX PLANNING PARTNERS, INC.
August 21, 2001 - January 16, 2025
AVANTAX ADVISORY SERVICES
June 25, 2001 - January 16, 2025
AVANTAX INVESTMENT SERVICES, INC.
January 9, 1995 - June 27, 2001
1ST GLOBAL CAPITAL CORP.
June 25, 1990 - September 30, 1994
AVANTAX INVESTMENT SERVICES, INC.
June 27, 1989 - August 3, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 27, 1989 - August 3, 1989
PRUCO SECURITIES, LLC.
January 6, 1987 - October 12, 1988
FIDELITY BROKERAGE SERVICES LLC
May 14, 1986 - October 2, 1986
FIDELITY DISTRIBUTORS CORPORATION
February 17, 1984 - May 7, 1984
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
AVANTAX PLANNING PARTNERS, INC.
CRD#: 106237 / SEC#: 801-50939
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 1/11/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AVANTAX PLANNING PARTNERS, INC.
CRD#: 106237 / SEC#: 801-50939
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 13,679 |
| AUM (Assets Under Management) | $ 6,933,162,284 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/20/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
