Mark A. Carlton

TRADEMARK FINANCIAL MANAGEMENT

Bloomington, MN 55439

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CRD#: 1554654

Professional summary

Mark Anbuhl Carlton is a registered financial advisor currently at TRADEMARK FINANCIAL MANAGEMENT, LLC located in Bloomington, Minnesota.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Mark has worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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 Anbuhl Carlton'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

December 7, 2005 - Present

TRADEMARK FINANCIAL MANAGEMENT, LLC

Office #1: 7825 Washington Ave South 410, Bloomington, MN 55439

RIA

CRD#: 116543

Bloomington, MN

Past

September 27, 2019 - August 20, 2020

O'BRIEN AND ASSOCIATES, INC.

RIA

CRD#: 115159

Edina, MN

Past

July 5, 2012 - July 17, 2012

CETERA ADVISORS LLC

RIA

CRD#: 10299

EDINA, MN

Past

February 28, 2012 - October 10, 2013

CETERA ADVISORS LLC

CRD#: 10299

EDINA, MN

Past

October 22, 2002 - February 28, 2012

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

EDINA, MN

Past

November 16, 1998 - November 6, 2002

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

February 7, 1995 - November 16, 1998

UNITED PACIFIC SECURITIES, INC.

CRD#: 21986

CARLSBAD, CA

Past

March 27, 1991 - February 13, 1995

CONSOLIDATED INVESTMENT SERVICES, INC.

CRD#: 7929

LITTLETON, CO

Past

July 21, 1989 - April 5, 1991

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

February 24, 1987 - July 29, 1989

INTERCAP FINANCIAL CORPORATION

CRD#: 15420

Past

September 29, 1986 - June 3, 1987

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

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".

TRADEMARK FINANCIAL MANAGEMENT, LLC

BRIGHTPOINT PLANNING | TRADEMARK FINANCIAL MANAGEMENT, LLC

CRD#: 116543 / SEC#: 801-80925

RIA

Registered Investment Advisory firm - (2/6/2015 Approved)

Arizona

Registered Investment Advisory firm - (2/24/2015 Terminated)

California

Registered Investment Advisory firm - (3/25/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (2/24/2015 Terminated)

Texas

Registered Investment Advisory firm - (2/24/2015 Terminated)

Washington

Registered Investment Advisory firm - (2/24/2015 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

Minnesota
(11/13/2013)

IAR

Texas
(1/24/2013)

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: 6/29/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/28/1987

General Securities Principal Examination

Current Firm

TRADEMARK FINANCIAL MANAGEMENT, LLC

BRIGHTPOINT PLANNING | TRADEMARK FINANCIAL MANAGEMENT, LLC

CRD#: 116543 / SEC#: 801-80925

RIA

Registered Investment Advisory firm - (2/6/2015 Approved)

Arizona

Registered Investment Advisory firm - (2/24/2015 Terminated)

California

Registered Investment Advisory firm - (3/25/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (2/24/2015 Terminated)

Texas

Registered Investment Advisory firm - (2/24/2015 Terminated)

Washington

Registered Investment Advisory firm - (2/24/2015 Terminated)

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Contact information

Main Address

7825 Washington Ave South 410, Bloomington, MN 55439

Mailing Address

Phone number

(952) 358-3395

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

FORM ADV PART 2 AND 2B 031924 (8/27/2025)

Regulatory assets under management

Total Number of Accounts	886
AUM (Assets Under Management)	$ 246,311,890

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

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Mark A. Carlton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anbuhl Carlton's CRS (Customer Relationship Summary).

Certified licenses

Experience

O'BRIEN AND ASSOCIATES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

PACIFIC WEST SECURITIES, INC.

SENTRA SECURITIES CORPORATION

UNITED PACIFIC SECURITIES, INC.

CONSOLIDATED INVESTMENT SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

INTERCAP FINANCIAL CORPORATION

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

TRADEMARK FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2000

Series 63

Date: 10/13/1986

Series 7

Date: 9/20/1986

Series 24

Date: 5/28/1987

Current Firm

TRADEMARK FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRADEMARK FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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