Mark L. Sherin

OSAIC WEALTH

WESTLAKE VILLAGE, CA 91361-4443

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CRD#: 1291532

Professional summary

Mark Lawrence Sherin, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Westlake Village, California.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

What are your service offerings?

Business Succession Planning

Comprehensive Financial Planni...

Employee and Employer Plan Ben...

Retirement Planning

Estate Planning

Investment Planning

Insurance Planning

What is your minimum asset requirement?

500K

How do you get paid?

Commission and Fee

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 AND ADDRESS: MARK SHERIN 31111 AGOURA RD WESTLAKE VILLAGE CA 91361 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERING ACCIDENT AND HEALTH, DISABILITY, FIXED ANNUITIES, HEALTH SAVINGS ACCOUNTS, INDEXED ANNUITIES, FIXED LIFE SETTLEMENTS AND TRADITIONAL LIFE INSURANCE, INCLUDING PREMIUM FINANCING. START DATE: 05/01/2001 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 10 2) INCLUSION MATTERS BY SHANE'S INSPIRATION POSITION: Chair of the corporate advisory board NATURE: They are a U.S.-based non-profit dedicated to creating play, dignity, and social equity for children with disabilities through inclusive playgrounds and education programs that unite children of all abilities worldwide. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 08/04/2025 ADDRESS: 5213 Burbank Blvd Sherman Oaks CA 91411 DESCRIPTION: Act as a liaison between the non-profit's ceo, governing board, and other influential members of the community that have a connection to the organization, helping to leverage those relationships through introductions and access to the organization's emerging and ongoing needs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Lawrence Sherin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mark Lawrence Sherin's CRS (Customer Relationship Summary).

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: 1989

Experience

Current

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 31111 Agoura Road Suite 200, Westlake Village, CA 91361-4443

RIA

CRD#: 23131

WESTLAKE VILLAGE, CA

Current

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 31111 Agoura Road Suite 200, Westlake Village, CA 91361-4443

RIA

CRD#: 23131

WESTLAKE VILLAGE, CA

Past

May 22, 2001 - January 24, 2025

OSAIC FA, INC.

RIA

CRD#: 3978

WESTLAKE VILLAGE, CA

Past

May 11, 2001 - April 28, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

May 11, 2001 - January 24, 2025

OSAIC FA, INC.

CRD#: 3978

WESTLAKE VILLAGE, CA

Past

November 16, 1989 - May 9, 2001

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

November 15, 1989 - October 19, 1992

HOME LIFE INSURANCE COMPANY

CRD#: 4184

Past

March 30, 1988 - October 29, 1988

VALUE EQUITIES CORPORATION

CRD#: 13316

Past

August 21, 1984 - December 18, 1986

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

Alaska
(1/24/2025)

Arizona
(1/24/2025)

California
(1/24/2025)

IAR

California
(1/24/2025)

Colorado
(1/24/2025)

District of Columbia
(1/24/2025)

Florida
(1/24/2025)

Idaho
(1/24/2025)

Illinois
(1/24/2025)

Kansas
(4/7/2025)

Maryland
(1/24/2025)

Michigan
(1/24/2025)

Montana
(7/2/2025)

Nevada
(1/24/2025)

Oregon
(1/24/2025)

South Dakota
(2/24/2025)

Tennessee
(1/24/2025)

Virginia
(1/24/2025)

Washington
(1/24/2025)

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: 6/21/1995

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: 8/18/1984

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 6/12/1984

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 7/21/1992

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Mark L. Sherin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Lawrence Sherin's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark Lawrence Sherin's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

WS GRIFFITH SECURITIES, INC.

HOME LIFE INSURANCE COMPANY

VALUE EQUITIES CORPORATION

TITAN/VALUE EQUITIES GROUP, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/21/1995

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 3

Date: 6/12/1984

Series 24

Date: 7/21/1992

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Contact information

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