Mark A. Berube

PATRIOT ADVISORY GROUP

LA QUINTA, CA

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CRD#: 1555856

Professional summary

Mark Anthony Berube is a registered financial advisor currently at PATRIOT ADVISORY GROUP located in La Quinta, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Mark has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 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.

Mr. Berube is a licensed health and life insurance agent and may receive compensation for insurance products purchased through him.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anthony Berube's 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

October 29, 2002 - Present

PATRIOT ADVISORY GROUP

Office #2: 1 New Hampshire Avenue Suite 125, Portsmouth, NH 03801

RIA

CRD#: 120649

LA QUINTA, CA

Past

June 17, 2005 - August 22, 2006

OAKBROOK INVESTMENT BROKERS, INC.

CRD#: 22133

OAKBROOK TERRACE, IL

Past

April 4, 2002 - April 1, 2005

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

NORTH HAMPTON, NH

Past

April 1, 2002 - April 1, 2005

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

January 2, 1987 - April 10, 2002

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

New Hampshire
(10/29/2002)

IAR

Texas
(5/29/2018)

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: 3/4/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/20/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/16/1992

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PATRIOT ADVISORY GROUP

PATRIOT ADVISORY GROUP | PATRIOT ADVISORY GROUP LLC.

CRD#: 120649 / SEC#:

Massachusetts

Registered Investment Advisory firm - (4/17/2018 Terminated)

New Hampshire

Registered Investment Advisory firm - (10/29/2002 Approved)

Texas

Registered Investment Advisory firm - (5/29/2018 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (11/17/2023 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).

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Contact information

Main Address

1 New Hampshire Avenue Suite 125, Portsmouth, NH 03801

Mailing Address

Phone number

(603) 766-1936

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 26,000,000

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 A. Berube

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anthony Berube's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKBROOK INVESTMENT BROKERS, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/1999

Series 63

Date: 3/16/1987

Series 7

Date: 5/19/1999

Series 6

Date: 12/20/1986

Series 24

Date: 7/31/2002

Series 26

Date: 3/16/1992

Current Firm

PATRIOT ADVISORY GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PATRIOT ADVISORY GROUP

TRUST BUT VERIFY

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