MT
Mark A. Trewitt
DELTA INVESTMENT MANAGEMENT
Plano, TX 75093
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CRD#: 1364490
MT
Professional summary
Mark Andrew Trewitt, ChFC®, CLU® is a registered financial advisor currently at DELTA INVESTMENT MANAGEMENT, LLC located in Plano, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Mark has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22, Series 6 and Series 26 exams.
Question & Answer
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.
All business conducted from the address listed in Item 1 of this Form U4, unless otherwise stated. (1) 01/2006-Present; Insurance Funding Solutions, LLC, Owner & Managing Partner since 1999. Sales of life/health insurance & annuities. 10% of time devoted. Holds Managing Partner interest in IFSG Ltd dba Integrated Financial Solutions Group since 01/2006. (2) 1/2006 - Present: IFSG, Ltd., dba Integrated Financial Solutions Group: Managing Member/Partner. Umbrella entity which offers financial planning, consulting, and other services to clients. (3) 1994-Present; life, disability & health insurance (non-securities related) also contracted directly through carriers & through First Financial Resources (FFR). IFSG Ltd. is a member of FFR receiving ins. commissions directly from carriers through FFR. (4) 2012-Present; IFSG Ltd is registered with Exceptional Risk Advisors offering disability ins benefits. approx 1% of time per year, all during normal business hrs. not inv related. (5) 04/2018-Present; IFSG Ltd. acts as Action Business Brokers Marketing Consultant with Action Business Brokers, an affiliate franchisee for Murphy Business Sales. approx 5-15 hours devoted per week, not-investment related. (6) 1/2022-Present; IFSG, Ltd. has entered into a marketing agreement with Strategic Tax Planning and Stenson Tamaddon LLC related to Employee Retention Tax Credits. Not Inv Related. 15-20 Hrs/wk devoted. (7) 12/2009-Present; Marketing VP, Integrated Marketing Solutions LLC. Pass Through Entity. 0-5% of time. Also provides business brokerage services through an affiliate franchisee and content development and consulting. Not inv related.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Andrew Trewitt'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®
Experience
Current
June 6, 2019 - Present
DELTA INVESTMENT MANAGEMENT, LLC
Office #1: 4324 Mapleshade Lane, Suite 131, Plano, TX 75093RIA
CRD#: 149596
Plano, TX
Past
April 13, 2017 - June 14, 2017
SGMA CAPITAL MARKETS LIMITED
BD
CRD#: 135327
NEW YORK, NY
Past
November 10, 2010 - December 31, 2018
VFG ADVISORS, INC.
RIA
CRD#: 150370
Plano, TX
Past
November 9, 2010 - November 13, 2017
VFG SECURITIES, INC.
BD
CRD#: 15121
PLANO, TX
Past
March 12, 2009 - November 10, 2010
MADISON AVENUE SECURITIES, LLC
RIA
CRD#: 23224
PLANO, TX
Past
September 22, 2006 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
RIA
CRD#: 137461
PLANO, TX
Past
September 22, 2006 - November 10, 2010
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
PLANO, TX
Past
May 18, 2005 - September 25, 2006
KALOS MANAGEMENT
RIA
CRD#: 133025
PLANO, TX
Past
October 26, 2004 - September 25, 2006
KALOS CAPITAL, INC.
BD
CRD#: 44337
PLANO, TX
Past
July 11, 2002 - October 27, 2004
OGILVIE SECURITY ADVISORS CORPORATION
RIA
CRD#: 10105
PLANO, TX
Past
July 11, 2002 - October 27, 2004
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHICAGO, IL
Past
April 11, 2002 - July 19, 2002
WALNUT STREET ADVISERS INC
RIA
CRD#: 109903
PLANO, TX
Past
April 25, 2001 - June 28, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
November 4, 1998 - April 24, 2001
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHICAGO, IL
Past
January 2, 1998 - October 30, 1998
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
September 3, 1997 - January 2, 1998
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
NEW YORK, NY
Past
October 5, 1992 - August 1, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
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".
DI
DELTA INVESTMENT MANAGEMENT, LLC
DELTA INVESTMENT MANAGEMENT, LLC | VANCLEF FINANCIAL GROUP | URA GROUP AZ L.L.C. | RAIL-SPLITTER CAPITAL MANAGEMENT | PK WEALTH MANAGEMENT | OPEN SOURCE CAPITAL MANAGEMENT | NORTHSTAR FINANCIAL & RETIREMENT PLANNING, LLC | INTEGRATED FINANCIAL SOLUTIONS GROUP
CRD#: 149596 / SEC#: 801-114006
RIA
Registered Investment Advisory firm - (9/19/2018 Approved)California
Registered Investment Advisory firm - (11/13/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/19/2018 Terminated)Nevada
Registered Investment Advisory firm - (11/29/2018 Terminated)Texas
Registered Investment Advisory firm - (10/14/2018 Terminated)Washington
Registered Investment Advisory firm - (10/21/2018 Terminated)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.Highlighted states indicate IAR registrations
IAR
Texas(6/6/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 7/3/2007
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
DI
DELTA INVESTMENT MANAGEMENT, LLC
DELTA INVESTMENT MANAGEMENT, LLC | VANCLEF FINANCIAL GROUP | URA GROUP AZ L.L.C. | RAIL-SPLITTER CAPITAL MANAGEMENT | PK WEALTH MANAGEMENT | OPEN SOURCE CAPITAL MANAGEMENT | NORTHSTAR FINANCIAL & RETIREMENT PLANNING, LLC | INTEGRATED FINANCIAL SOLUTIONS GROUP
CRD#: 149596 / SEC#: 801-114006
RIA
Registered Investment Advisory firm - (9/19/2018 Approved)California
Registered Investment Advisory firm - (11/13/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/19/2018 Terminated)Nevada
Registered Investment Advisory firm - (11/29/2018 Terminated)Texas
Registered Investment Advisory firm - (10/14/2018 Terminated)Washington
Registered Investment Advisory firm - (10/21/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
708 Montgomery Street, San Francisco, CA 94111
Mailing Address
204 E. 2nd Avenue, #906, San Mateo, CA 94401
Phone number
(415) 249-6337
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,625 |
| AUM (Assets Under Management) | $ 770,787,222 |
Red Flags
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Company Information
DELTA INVESTMENT MANAGEMENT, LLC
CRD#: 149596Plano, TX 75093TRUST BUT VERIFY
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