Mark E. Prowell

PROWELL FINANCIAL MANAGEMENT

Exton, PA 19341

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CRD#: 1781070

Professional summary

Mark Edward Prowell is a registered financial advisor currently at PROWELL FINANCIAL MANAGEMENT, LLC located in Exton, Pennsylvania.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Mark has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Edward Prowell'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®

None

Experience

Current

February 12, 2016 - Present

PROWELL FINANCIAL MANAGEMENT, LLC

Office #1: 717 Constitution Drive Suite 102, Exton, PA 19341

RIA

CRD#: 281762

Exton, PA

Past

July 17, 2012 - March 1, 2016

CAPITAL ANALYSTS

RIA

CRD#: 162200

Exton, PA

Past

July 17, 2012 - March 15, 2016

LINCOLN INVESTMENT

RIA

CRD#: 519

EXTON, PA

Past

June 1, 2012 - March 15, 2016

LINCOLN INVESTMENT

CRD#: 519

EXTON, PA

Past

January 20, 1988 - June 1, 2012

CINCINNATI ANALYSTS, INC.

CRD#: 5478

GLENMOORE, PA

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".

PROWELL FINANCIAL MANAGEMENT, LLC

CRD#: 281762 / SEC#: 801-108292

RIA

Registered Investment Advisory firm - (8/22/2016 Approved)

Delaware

Registered Investment Advisory firm - (8/26/2016 Terminated)

Florida

Registered Investment Advisory firm - (8/23/2016 Terminated)

New Jersey

Registered Investment Advisory firm - (9/2/2016 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/24/2016 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).

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

Florida
(12/1/2025)

IAR

Pennsylvania
(2/12/2016)

IAR

Texas
(4/22/2022)

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 66

Date: 12/9/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/11/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/15/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Current Firm

PROWELL FINANCIAL MANAGEMENT, LLC

CRD#: 281762 / SEC#: 801-108292

RIA

Registered Investment Advisory firm - (8/22/2016 Approved)

Delaware

Registered Investment Advisory firm - (8/26/2016 Terminated)

Florida

Registered Investment Advisory firm - (8/23/2016 Terminated)

New Jersey

Registered Investment Advisory firm - (9/2/2016 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/24/2016 Terminated)

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Contact information

Main Address

717 Constitution Drive Suite 102, Exton, PA 19341

Mailing Address

Phone number

(484) 359-4057

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts	367
AUM (Assets Under Management)	$ 8,094,993,369

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	Cover Page	Report

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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Mark E. Prowell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Edward Prowell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

CINCINNATI ANALYSTS, INC.

Primary Firm SEC Registration

PROWELL FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/9/2015

Series 63

Date: 4/11/1988

SIE

Date: 3/15/2016

Series 7

Date: 1/16/1988

Current Firm

PROWELL FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PROWELL FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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