Mark L. Cottle

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CRD#: 1322905

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 Lee Cottle was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 4 firms and has passed the Series 63 and Series 22 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

September 30, 2014 - January 18, 2019

COLUMBIA RIVER ADVISORS

RIA

CRD#: 154571

BELLEVUE, WA

Past

June 1, 1989 - November 14, 2014

COTTLE & SWANSON, CPA'S PLLC

RIA

CRD#: 115708

BELLEVUE, WA

Past

June 11, 1985 - December 31, 1988

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

November 14, 1984 - June 12, 1985

GUARANTY UNITED SECURITIES CORPORATION

CRD#: 14561

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".

COLUMBIA RIVER ADVISORS

CRD#: 154571 / SEC#: 801-71970

RIA

Registered Investment Advisory firm - (11/24/2010 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

Series 63

Date: 9/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 10/18/1984

Direct Participation Programs Representative Examination

Current Firm

COLUMBIA RIVER ADVISORS

CRD#: 154571 / SEC#: 801-71970

RIA

Registered Investment Advisory firm - (11/24/2010 Approved)

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Contact information

Main Address

1927 Dock Street, Tacoma, WA 98402

Mailing Address

Phone number

(253) 589-1401

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CRA FORM ADV PART 2 A&B 2025-03 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	693
AUM (Assets Under Management)	$ 189,572,914

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Mark L. Cottle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COLUMBIA RIVER ADVISORS

COTTLE & SWANSON, CPA'S PLLC

SOUTHMARK FINANCIAL SERVICES, INC.

GUARANTY UNITED SECURITIES CORPORATION

Primary Firm SEC Registration

COLUMBIA RIVER ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/1984

Series 22

Date: 10/18/1984

Current Firm

COLUMBIA RIVER ADVISORS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLUMBIA RIVER ADVISORS

TRUST BUT VERIFY

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