Mark S. Germain
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 Steven Germain, CFP® was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 24, Series 8 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1996
Experience
February 14, 2019 - May 31, 2022
MERCER GLOBAL ADVISORS INC.
July 19, 2005 - June 4, 2010
PURSHE KAPLAN STERLING INVESTMENTS
January 26, 2004 - March 15, 2019
BEACON WEALTH MANAGEMENT, LLC
May 19, 2003 - August 23, 2005
WESTMINSTER FINANCIAL SECURITIES, INC.
September 25, 2002 - May 21, 2003
VOYA FINANCIAL ADVISORS, INC.
January 25, 2002 - May 21, 2003
VOYA FINANCIAL ADVISORS, INC.
October 29, 1996 - December 1, 1999
GLEACHER & COMPANY SECURITIES, INC.
March 6, 1995 - October 2, 1996
ADVEST, INC.
November 21, 1990 - March 3, 1995
1717 CAPITAL MANAGEMENT COMPANY
July 17, 1990 - November 20, 1990
COMMONWEALTH FINANCIAL NETWORK
March 16, 1987 - August 1, 1990
RESOURCE BROKERAGE CORP.
January 28, 1985 - March 11, 1987
MAIN STREET MANAGEMENT COMPANY
Primary Firm SEC Registration
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
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: 3/25/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 99,044 |
| AUM (Assets Under Management) | $ 60,256,270,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 07/31/2024 | ||
| 09/28/2023 | ||
| 12/07/2022 |
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.
