Mark A. Lavallee

FINANCIAL INDEPENDENCE

WARWICK, RI 02886

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CRD#: 1419202

Professional summary

Mark Allen Lavallee, CFP® is a registered financial advisor currently at FINANCIAL INDEPENDENCE, LLC located in Warwick, Rhode Island.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Mark has worked at 7 firms and has passed the Series 65, Series 63 and Series 6 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.

FIXED LIFE INSURANCE. EMPLOYEE OF DIGITAL FEDERAL CREDIT UNION. DBA - DCU FINANCIAL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Lavallee'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: 2007

Experience

Current

September 25, 2009 - Present

FINANCIAL INDEPENDENCE, LLC

Office #1: 931 Jefferson Blvd. Suite 2005, Warwick, RI 02886

RIA

CRD#: 150515

WARWICK, RI

Past

September 18, 2009 - October 15, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

MARLBOROUGH, MA

Past

September 16, 2009 - October 15, 2009

LPL FINANCIAL LLC

CRD#: 6413

MARLBOROUGH, MA

Past

August 3, 2009 - September 16, 2009

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

FRANKLIN, MA

Past

June 16, 2009 - September 16, 2009

CETERA WEALTH SERVICES, LLC

CRD#: 13572

FRANKLIN, MA

Past

December 5, 1994 - November 25, 2008

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

December 24, 1986 - December 31, 1994

MFS FINANCIAL SERVICES, INC.

CRD#: 18309

BOSTON, MA

Past

August 29, 1986 - January 9, 1987

MASSACHUSETTS FINANCIAL SERVICES COMPANY

CRD#: 7383

Past

October 22, 1985 - February 18, 1986

WADDELL & REED

CRD#: 866

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".

FINANCIAL INDEPENDENCE, LLC

CRD#: 150515 / SEC#: 801-120254

RIA

Registered Investment Advisory firm - (2/17/2021 Approved)

Connecticut

Registered Investment Advisory firm - (3/16/2021 Terminated)

Florida

Registered Investment Advisory firm - (2/25/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (2/25/2021 Terminated)

Rhode Island

Registered Investment Advisory firm - (2/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/25/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Connecticut
(9/25/2009)

IAR

Florida
(2/28/2013)

IAR

Massachusetts
(9/28/2009)

IAR

Rhode Island
(9/25/2009)

IAR

Texas
(12/20/2012)

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

IAR

Series 65

Date: 7/1/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/24/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/21/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINANCIAL INDEPENDENCE, LLC

CRD#: 150515 / SEC#: 801-120254

RIA

Registered Investment Advisory firm - (2/17/2021 Approved)

Connecticut

Registered Investment Advisory firm - (3/16/2021 Terminated)

Florida

Registered Investment Advisory firm - (2/25/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (2/25/2021 Terminated)

Rhode Island

Registered Investment Advisory firm - (2/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/25/2021 Terminated)

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Contact information

Main Address

931 Jefferson Blvd. Suite 2005, Warwick, RI 02886-2213

Mailing Address

Phone number

(401) 681-4825

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FINANCIAL INDEPENDENCE, LLC ADV BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	834
AUM (Assets Under Management)	$ 242,343,248

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.

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Advisor Monitoring

Firm Stability Insights

Mark A. Lavallee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Lavallee's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

MFS FUND DISTRIBUTORS, INC.

MFS FINANCIAL SERVICES, INC.

MASSACHUSETTS FINANCIAL SERVICES COMPANY

WADDELL & REED

Primary Firm SEC Registration

FINANCIAL INDEPENDENCE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/2009

Series 63

Date: 10/24/1985

Series 6

Date: 10/21/1985

Current Firm

FINANCIAL INDEPENDENCE, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL INDEPENDENCE, LLC

TRUST BUT VERIFY

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