MK
Mark K. Klages
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CRD#: 1578362
MK
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Kenneth Klages was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 7, 2016 - December 31, 2018
D.H. HILL ADVISORS, INC.
RIA
CRD#: 116324
KINGWOOD, TX
Past
January 5, 2016 - December 31, 2018
D.H. HILL SECURITIES, LLLP
BD
CRD#: 41528
KINGWOOD, TX
Past
March 17, 2009 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
LA MESA, CA
Past
December 2, 2005 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
LA MESA, CA
Past
September 5, 2003 - December 8, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
July 22, 1999 - September 5, 2003
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ORANGE, CA
Past
March 31, 1999 - July 15, 1999
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
July 8, 1994 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
December 2, 1986 - November 8, 1993
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
FORT WORTH, TX
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".
DH
D.H. HILL ADVISORS, INC.
D.H. HILL ADVISORS, INC. | FIRST FINANCIAL UNITED MANAGEMENT, INC. | DBA D.H. HILL WEALTH MANAGEMENT
CRD#: 116324 / SEC#: 801-115203
RIA
Registered Investment Advisory firm - (5/2/2019 Approved)Arizona
Registered Investment Advisory firm - (5/20/2019 Terminated)California
Registered Investment Advisory firm - (6/19/2019 Terminated)Colorado
Registered Investment Advisory firm - (5/29/2019 Terminated)Delaware
Registered Investment Advisory firm - (5/21/2019 Terminated)Florida
Registered Investment Advisory firm - (5/20/2019 Terminated)Georgia
Registered Investment Advisory firm - (5/31/2019 Terminated)Illinois
Registered Investment Advisory firm - (5/2/2019 Terminated)Iowa
Registered Investment Advisory firm - (5/21/2019 Terminated)Kansas
Registered Investment Advisory firm - (5/20/2019 Terminated)Kentucky
Registered Investment Advisory firm - (11/14/2011 Terminated)Louisiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (5/20/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/20/2019 Terminated)Missouri
Registered Investment Advisory firm - (5/20/2019 Terminated)Nebraska
Registered Investment Advisory firm - (5/28/2019 Terminated)New Mexico
Registered Investment Advisory firm - (5/20/2019 Terminated)New York
Registered Investment Advisory firm - (5/20/2019 Terminated)North Carolina
Registered Investment Advisory firm - (6/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (5/21/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/20/2019 Terminated)Rhode Island
Registered Investment Advisory firm - (5/20/2019 Terminated)South Carolina
Registered Investment Advisory firm - (5/20/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/22/2019 Terminated)Texas
Registered Investment Advisory firm - (5/20/2019 Terminated)Virginia
Registered Investment Advisory firm - (5/22/2019 Terminated)Washington
Registered Investment Advisory firm - (5/27/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DH
D.H. HILL ADVISORS, INC.
D.H. HILL ADVISORS, INC. | FIRST FINANCIAL UNITED MANAGEMENT, INC. | DBA D.H. HILL WEALTH MANAGEMENT
CRD#: 116324 / SEC#: 801-115203
RIA
Registered Investment Advisory firm - (5/2/2019 Approved)Arizona
Registered Investment Advisory firm - (5/20/2019 Terminated)California
Registered Investment Advisory firm - (6/19/2019 Terminated)Colorado
Registered Investment Advisory firm - (5/29/2019 Terminated)Delaware
Registered Investment Advisory firm - (5/21/2019 Terminated)Florida
Registered Investment Advisory firm - (5/20/2019 Terminated)Georgia
Registered Investment Advisory firm - (5/31/2019 Terminated)Illinois
Registered Investment Advisory firm - (5/2/2019 Terminated)Iowa
Registered Investment Advisory firm - (5/21/2019 Terminated)Kansas
Registered Investment Advisory firm - (5/20/2019 Terminated)Kentucky
Registered Investment Advisory firm - (11/14/2011 Terminated)Louisiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (5/20/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/20/2019 Terminated)Missouri
Registered Investment Advisory firm - (5/20/2019 Terminated)Nebraska
Registered Investment Advisory firm - (5/28/2019 Terminated)New Mexico
Registered Investment Advisory firm - (5/20/2019 Terminated)New York
Registered Investment Advisory firm - (5/20/2019 Terminated)North Carolina
Registered Investment Advisory firm - (6/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (5/21/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/20/2019 Terminated)Rhode Island
Registered Investment Advisory firm - (5/20/2019 Terminated)South Carolina
Registered Investment Advisory firm - (5/20/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/22/2019 Terminated)Texas
Registered Investment Advisory firm - (5/20/2019 Terminated)Virginia
Registered Investment Advisory firm - (5/22/2019 Terminated)Washington
Registered Investment Advisory firm - (5/27/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1543 Green Oak Place Suite 100, Kingwood, TX 77339
Mailing Address
1543 Green Oak Place Suite 100, Kingwood, TX 77339
Phone number
(832) 644-1852
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 953 |
| AUM (Assets Under Management) | $ 196,852,282 |
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.
