Mark L. Delgadillo

SFE INVESTMENT COUNSEL

Los Angeles, CA 90017

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CRD#: 1436842

Professional summary

Mark Larry Delgadillo is a registered financial advisor currently at SFE INVESTMENT COUNSEL INC. located in Los Angeles, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Larry Delgadillo'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®

None

Experience

Current

May 27, 2020 - Present

SFE INVESTMENT COUNSEL INC.

Office #1: 801 South Figueroa Street Suite 2050, Los Angeles, CA 90017

RIA

CRD#: 145530

Los Angeles, CA

Past

November 25, 2013 - May 1, 2020

D.A. DAVIDSON & CO.

RIA

CRD#: 199

SANTA BARBARA, CA

Past

November 25, 2013 - May 1, 2020

D.A. DAVIDSON & CO.

CRD#: 199

SANTA BARBARA, CA

Past

November 4, 2013 - November 25, 2013

CROWELL WEEDON & CO.

RIA

CRD#: 168622

SANTA BARBARA, CA

Past

November 4, 2013 - November 25, 2013

CROWELL WEEDON & CO.

CRD#: 168622

SANTA BARBARA, CA

Past

August 20, 2010 - November 4, 2013

CROWELL, WEEDON & CO.

RIA

CRD#: 193

SANTA BARBARA, CA

Past

August 20, 2010 - November 4, 2013

CROWELL, WEEDON & CO.

CRD#: 193

SANTA BARBARA, CA

Past

June 1, 2009 - August 31, 2010

MORGAN STANLEY

RIA

CRD#: 149777

SANTA BARBARA, CA

Past

June 1, 2009 - August 31, 2010

MORGAN STANLEY

CRD#: 149777

SANTA BARBARA, CA

Past

April 29, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SANTA BARBARA, CA

Past

April 29, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SANTA BARBARA, CA

Past

July 8, 1997 - April 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SANTA BARBAR, CA

Past

April 23, 1986 - April 24, 1986

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

April 23, 1986 - April 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

SFE INVESTMENT COUNSEL INC.

SFE INVESTMENT COUNSEL INC. | SFE INVESTMENT COUNSEL, INC.

CRD#: 145530 / SEC#: 801-68580

RIA

Registered Investment Advisory firm - (10/24/2007 Approved)

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

California
(5/27/2020)

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: 2/14/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/28/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/19/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

Current Firm

SFE INVESTMENT COUNSEL INC.

SFE INVESTMENT COUNSEL INC. | SFE INVESTMENT COUNSEL, INC.

CRD#: 145530 / SEC#: 801-68580

RIA

Registered Investment Advisory firm - (10/24/2007 Approved)

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Contact information

Main Address

801 S. Figueroa Street Suite 610, Los Angeles, CA 90017

Mailing Address

Phone number

(213) 612-0220

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (7/7/2025)

Regulatory assets under management

Total Number of Accounts	772
AUM (Assets Under Management)	$ 581,606,303

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 L. Delgadillo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Larry Delgadillo's CRS (Customer Relationship Summary).

Certified licenses

Experience

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

CROWELL WEEDON & CO.

CROWELL WEEDON & CO.

CROWELL, WEEDON & CO.

CROWELL, WEEDON & CO.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

PRUCO SECURITIES, LLC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SFE INVESTMENT COUNSEL INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/14/2018

Series 63

Date: 4/28/1986

SIE

Date: 10/1/2018

Series 3

Date: 6/19/1989

Series 7

Date: 4/19/1986

Current Firm

SFE INVESTMENT COUNSEL INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SFE INVESTMENT COUNSEL INC.

TRUST BUT VERIFY

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