Mark K. Millar

SYMPHONY FINANCIAL SERVICES

Akron, OH 44333

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CRD#: 1439121

Professional summary

Mark K Millar is a registered financial advisor currently at SYMPHONY FINANCIAL SERVICES, INC. located in Akron, Ohio and LPL FINANCIAL LLC located in Akron, Ohio.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Mark has worked at 7 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.

1. 5/22/2020 - Symphony Financial Services, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/2020. 2. 6/22/2020 - Symphony Financial Services, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 04/2020 - 16 Hours Per Month/4 Hours During Securities Trading - Time Spent 10% - I provide investment advisory services through Symphony Financial Services, Inc., an independent investment advisor firm. I started this business activity in 04/2020. I expect to spend approximately 16 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark K Millar'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

June 10, 2020 - Present

SYMPHONY FINANCIAL SERVICES, INC.

Office #1: 4100 Embassy Parkway Suite 100, Akron, OH 44333

RIA

CRD#: 125058

Akron, OH

Current

May 22, 2020 - Present

LPL FINANCIAL LLC

Office #1: 4100 Embassy Parkway Ste 100, Akron, OH 44333-1783

RIA

CRD#: 6413

Akron, OH

Past

May 22, 2020 - October 28, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

August 31, 2016 - May 26, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

AKRON, OH

Past

August 31, 2016 - May 26, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

AKRON, OH

Past

October 12, 2004 - September 1, 2016

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

AKRON, OH

Past

October 8, 2004 - September 1, 2016

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

AKRON, OH

Past

May 18, 1999 - November 1, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

AKRON, OH

Past

September 4, 1990 - November 1, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 14, 1989 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

February 15, 1988 - December 12, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

December 23, 1985 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

SYMPHONY FINANCIAL SERVICES, INC.

CRD#: 125058 / SEC#: 801-63300

RIA

Registered Investment Advisory firm - (6/24/2004 Approved)

Ohio

Registered Investment Advisory firm - (3/17/2010 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(5/22/2020)

Massachusetts
(3/15/2021)

Ohio
(5/22/2020)

IAR

Ohio
(6/10/2020)

Wisconsin
(1/7/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/29/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/3/1986

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: 5/22/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/21/1985

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SYMPHONY FINANCIAL SERVICES, INC.

CRD#: 125058 / SEC#: 801-63300

RIA

Registered Investment Advisory firm - (6/24/2004 Approved)

Ohio

Registered Investment Advisory firm - (3/17/2010 Terminated)

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Contact information

Main Address

4100 Embassy Parkway Suite 100, Akron, OH 44333

Mailing Address

Phone number

(330) 434-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A: FIRM BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,254
AUM (Assets Under Management)	$ 376,086,940

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Mark K. Millar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark K Millar's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRESCOTT, BALL & TURBEN, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

SYMPHONY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/1996

Series 63

Date: 1/3/1986

SIE

Date: 10/1/2018

Series 3

Date: 5/22/1996

Series 7

Date: 12/21/1985

FINRA

Current Firm

SYMPHONY FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SYMPHONY FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

Contact information

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