Mark S. Redfield

BLUE WATER ASSET MANAGEMENT

Grand Rapids, MI 49525

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CRD#: 1564768

Professional summary

Mark Sid Redfield, ChFC® is a registered financial advisor currently at BLUE WATER ASSET MANAGEMENT located in Grand Rapids, Michigan and SILVER OAK SECURITIES, INCORPORATED located in Grand Rapids, Michigan.

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 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, 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) Redfield Properties LLC,Is Not Investment Related,,RE Rental,owner,2014-01-01,4 hours per month,4 hours per month during trading hours,Other Compensation,rentaincome 2) 02/14/2018 - REDFIELD FINANCIAL GROUP LLC - Investment Related - At Reported Business Location(s) - DBA for securities business and insurance sales-Start Date 1/1/91. 3) Grass Lake East Properties LLC,Is Not Investment Related,,timber land,owner,2006-01-01,4 hours per month,0 hours per month during tradinghours,Other Compensation,Buying and selling timber and carbon 4) Blue Water Asset Management LLC,Is Investment Related,,RIA,owner,2015-01-06,120 hours permonth,120 hours per month during trading hours,Fee Based Compensation,Rep 5) Blue Water Group Agency LLC, Is Not Investment Related,group insurance,owner,20101-01,30 hours per month,0 hours per month during trading hours,Commission Compensation,agent 6) 12/3/2019 - Waltman Lodge Lake LLC - Investment Related - 4050N West County Line Rd, Pierson MI 49339 - Real Estate Rental - Owner - Started 11/01/2019 - 8 Hours Per Month/1 Hour During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Sid Redfield'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®

ChFC^®

Chartered Financial Consultant

Experience

Current

March 19, 2015 - Present

BLUE WATER ASSET MANAGEMENT

Office #1: 4120 E. Beltline Ave. Suite 100, Grand Rapids, MI 49525

RIA

CRD#: 175362

Grand Rapids, MI

Current

January 20, 2022 - Present

SILVER OAK SECURITIES, INCORPORATED

Office #1: 4120 E Beltline Ave Suite 100, Grand Rapids, MI 49252

RIA

CRD#: 46947

Grand Rapids, MI

Past

February 14, 2018 - October 7, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

GRAND RAPIDS, MI

Past

February 14, 2018 - January 24, 2022

LPL FINANCIAL LLC

CRD#: 6413

GRAND RAPIDS, MI

Past

September 24, 2010 - July 8, 2015

CG ADVISORY SERVICES

RIA

CRD#: 110929

GRAND RAPIDS, MI

Past

January 22, 2010 - February 14, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

GRAND RAPIDS, MI

Past

February 9, 2009 - February 14, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

GRAND RAPIDS, MI

Past

December 19, 2006 - February 10, 2009

OSAIC WEALTH, INC.

CRD#: 23131

GRAND RAPIDS, MI

Past

January 31, 2000 - December 19, 2006

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

GRAND RAPIDS, MI

Past

January 18, 2000 - December 19, 2006

NATIONAL PLANNING CORPORATION

CRD#: 29604

GRAND RAPIDS, MI

Past

January 7, 1994 - January 20, 2000

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

January 6, 1992 - January 11, 1994

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

October 29, 1986 - February 4, 1992

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

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".

BLUE WATER ASSET MANAGEMENT

CRD#: 175362 / SEC#: 801-81153

RIA

Registered Investment Advisory firm - (3/18/2015 Approved)

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.

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

California
(8/2/2024)

Florida
(1/20/2022)

Illinois
(1/20/2022)

IAR

Michigan
(3/19/2015)

Michigan
(1/20/2022)

Ohio
(1/21/2022)

IAR

Texas
(9/25/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/12/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/27/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 10/16/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/21/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BLUE WATER ASSET MANAGEMENT

CRD#: 175362 / SEC#: 801-81153

RIA

Registered Investment Advisory firm - (3/18/2015 Approved)

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Contact information

Main Address

4120 E. Beltline Ave. Suite 100, Grand Rapids, MI 49525

Mailing Address

Phone number

(616) 447-1600

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

BLUE WATER ASSET MANAGEMENT ADV BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	1,796
AUM (Assets Under Management)	$ 386,830,730

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 S. Redfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Sid Redfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CG ADVISORY SERVICES

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

OSAIC WEALTH, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

VOYA FINANCIAL ADVISORS, INC.

GUARDIAN INVESTOR SERVICES LLC

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

BLUE WATER ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/12/1996

Series 63

Date: 10/27/1986

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1988

Series 6

Date: 10/27/1986

Series 51

Date: 10/16/2003

Series 24

Date: 6/21/2000

FINRA

Current Firm

BLUE WATER ASSET MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BLUE WATER ASSET MANAGEMENT

TRUST BUT VERIFY

Contact information

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