Mark S. Fischer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Samuel Fischer, who also goes by Mark S Fischer, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2016 - December 31, 2019
STRATEGIC WEALTH GROUP
August 2, 2016 - December 31, 2019
LPL FINANCIAL LLC
January 29, 2014 - August 8, 2016
CETERA ADVISORS LLC
January 1, 2004 - August 8, 2016
CETERA ADVISORS LLC
January 3, 1996 - January 1, 2004
IFG NETWORK SECURITIES, INC.
March 23, 1992 - December 21, 1994
EQUITABLE ADVISORS, LLC
December 16, 1991 - January 2, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 20, 1986 - February 19, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 20, 1986 - January 2, 1996
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
STRATEGIC WEALTH GROUP
CRD#: 284430 / SEC#: 801-108208
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STRATEGIC WEALTH GROUP
CRD#: 284430 / SEC#: 801-108208
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,029 |
| AUM (Assets Under Management) | $ 1,029,281,614 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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