Mark W. Robertson
Professional summary
Mark William Robertson, CFP® is a registered financial advisor currently at MAXIM CAPITAL ADVISORS, INC. located in Irvine, California and OSAIC WEALTH, INC. located in Newport Beach, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark William Robertson's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2001
Experience
October 18, 1999 - Present
MAXIM CAPITAL ADVISORS, INC.
Office #1: 9160 Irvine Center Dr. Ste 201, Irvine, CA 92618January 9, 1998 - Present
OSAIC WEALTH, INC.
Office #1: 100 Bayview Circle Suite 210, Newport Beach, CA 92660July 30, 1999 - May 11, 2005
OSAIC WEALTH, INC.
July 14, 1997 - January 13, 1998
WAMU INVESTMENTS, INC.
August 6, 1990 - July 14, 1997
ASB FINANCIAL SERVICES
February 8, 1989 - August 7, 1990
CAPITAL BROKERAGE CORPORATION
February 16, 1988 - February 25, 1989
CETERA WEALTH SERVICES, LLC
December 10, 1986 - March 19, 1988
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/7/2016)
(1/14/1998)
(10/18/1999)
(3/31/2000)
(6/30/2022)
(3/15/1999)
(3/3/2022)
(2/6/2018)
(3/13/2002)
(11/6/2007)
(5/21/2004)
(2/11/2009)
(6/30/2022)
(6/30/2022)
(6/30/2022)
(4/26/2010)
Exams
FINRA
Current Firm
MAXIM CAPITAL ADVISORS, INC.
CRD#: 130161 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 121 |
| AUM (Assets Under Management) | $ 48,221,580 |
Red Flags
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