Mark E. Rauguth
IMMACULATE WEALTH MANAGEMENT
Mesa, AZ 85209
Some features on this profile are disabled
CRD#: 1564114
Professional summary
Mark Edward Rauguth, CFP® is a registered financial advisor currently at IMMACULATE WEALTH MANAGEMENT, LLC located in Mesa, Arizona and GRADIENT SECURITIES, LLC located in Mesa, Arizona.
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 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 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.
1) IMMACULATE WEALTH MANAGEMENT, LLC; INVESTMENT RELATED; 2500 S. POWER ROAD, SUITE 111, MESA, AZ 85209; INVESTMENT ADVISORY SERVICES AND NAME USED FOR SECURITIES/INSURANCE SERVICES; MANAGING MEMBER; START 05/2013; 160 HOURS PER MONTH; 160 HOURS DURING SECURITIES TRADING HOURS;INVESTMENT ADVISORY SERVICES AND NAME USED FOR SECURITIES/INSURANCE SERVICES. 2)PRECISION INVESTMENTS INC; NOT INVESTMENT RELATED; 2500 S. POWER ROAD, SUITE 111, MESA, AZ 85209; PAYROLL; OWNER/PRESIDENT; START 03/2000; 2 HOURS PER MONTH; 2 HOURS DURING SECURITIES TRADING HOURS; PAYROLL. 3) OVERSON & RAUGUTH & ASSOC. LLC; INVESTMENT RELATED; 2500 S. POWER ROAD, SUITE 111, MESA, AZ 85209; REAL ESTATE RENTAL PROPERTY; PARTNER; START 02/2005; 4 HOURS PER MONTH; NONE OF WHICH ARE DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Edward Rauguth'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®
CFP®
Start date: 1992
Experience
Current
May 8, 2013 - Present
IMMACULATE WEALTH MANAGEMENT, LLC
Office #1: 2500 S. Power Road Suite 111, Mesa, AZ 85209RIA
CRD#: 167657
Mesa, AZ
Current
June 5, 2013 - Present
GRADIENT SECURITIES, LLC
Office #1: 2500 S. Power Road Suite 111, Mesa, AZ 85209RIA
BD
CRD#: 127701
Mesa, AZ
Past
April 9, 2009 - March 27, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
MESA, AZ
Past
December 10, 1997 - March 27, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MESA, AZ
Past
October 24, 1986 - December 15, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
IW
IMMACULATE WEALTH MANAGEMENT, LLC
IMMACULATE WEALTH MANAGEMENT, LLC
CRD#: 167657 / SEC#: 801-132448
RIA
Registered Investment Advisory firm - (4/17/2025 Approved)Arizona
Registered Investment Advisory firm - (4/21/2025 Terminated)California
Registered Investment Advisory firm - (5/21/2025 Terminated)Michigan
Registered Investment Advisory firm - (12/23/2022 Terminated)Texas
Registered Investment Advisory firm - (4/21/2025 Terminated)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.RR
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
IAR
Arizona(5/16/2013)
RR
Arizona(6/17/2013)
RR
California(6/5/2013)
RR
Colorado(9/5/2018)
RR
Georgia(6/7/2013)
RR
Idaho(4/12/2024)
RR
Illinois(6/6/2013)
RR
Maryland(6/20/2013)
RR
Mississippi(1/10/2025)
RR
Missouri(7/12/2013)
RR
Nevada(6/26/2013)
RR
North Carolina(4/15/2024)
RR
Ohio(6/18/2013)
RR
Oregon(7/9/2021)
RR
Rhode Island(5/21/2018)
IAR
Texas(5/8/2013)
RR
Texas(9/26/2013)
RR
Utah(1/3/2024)
RR
Virginia(6/6/2013)
RR
Washington(2/8/2016)
RR
Wisconsin(6/18/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IW
IMMACULATE WEALTH MANAGEMENT, LLC
IMMACULATE WEALTH MANAGEMENT, LLC
CRD#: 167657 / SEC#: 801-132448
RIA
Registered Investment Advisory firm - (4/17/2025 Approved)Arizona
Registered Investment Advisory firm - (4/21/2025 Terminated)California
Registered Investment Advisory firm - (5/21/2025 Terminated)Michigan
Registered Investment Advisory firm - (12/23/2022 Terminated)Texas
Registered Investment Advisory firm - (4/21/2025 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2500 S. Power Road Suite 111, Mesa, AZ 85209
Mailing Address
Phone number
(480) 776-3511
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 740 |
| AUM (Assets Under Management) | $ 118,970,810 |
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.
