Mark Allan Bergendahl
Professional Summary
Mark Allan Bergendahl is a registered financial advisor currently at ASCENDIANT SECURITIES, LLC located in Irvine, California and ASCENDIANT CAPITAL MARKETS, LLC located in Irvine, California. Mark is registered as a RR (Registered Representative) and started their career in finance in 2004. Mark has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
ASCENDIANT CAPITAL MARKETS, LLC
Contact Information
Main Address
110 Front Street, Suite 300, Jupiter, FL 33477Mailing Address
4 Park Plaza, Suite 1950, Irvine, CA 92614Phone Number
(949) 259-4900Established
Nevada since 01/04/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (29 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/21/2004)
(4/14/2011)
(4/4/2011)
(7/5/2011)
(5/9/2011)
(8/25/2011)
(5/5/2011)
(2/2/2010)
(10/28/2013)
(9/14/2011)
(5/9/2011)
(7/14/2025)
(6/16/2011)
(3/8/2012)
(6/22/2011)
(3/22/2012)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mark Allan Bergendahl's CRS (Customer Relationship Summary).
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