Mark A. Platte
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 Allen Platte was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2015 - December 31, 2016
INVESTMENT ADVISORS CORP
May 13, 2015 - December 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
January 4, 2011 - November 28, 2014
INVESTMENT ADVISORS CORP
January 4, 2011 - November 28, 2014
BROKER DEALER FINANCIAL SERVICES CORP.
May 13, 2004 - January 12, 2011
LPL FINANCIAL LLC
August 22, 2003 - January 12, 2011
LPL FINANCIAL LLC
July 1, 1993 - August 25, 2003
CUNA BROKERAGE SERVICES, INC.
May 29, 1987 - July 1, 1993
CENTURY INVESTORS OF AMERICA, INC.
March 25, 1987 - June 1, 1987
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INVESTMENT ADVISORS CORP
CRD#: 117531 / SEC#: 801-69573
Contact information
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.
