Mark W. Spelts
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 Warren Spelts was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2016 - July 12, 2023
INFINITY FINANCIAL SERVICES
September 19, 2012 - September 28, 2025
SPELTS WEALTH MANAGEMENT, INC
July 26, 2002 - October 29, 2015
LPL FINANCIAL LLC
July 26, 2002 - February 25, 2016
LPL FINANCIAL LLC
March 12, 2002 - July 30, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 1997 - July 30, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 1988 - October 27, 1997
EDWARD JONES
April 21, 1988 - June 2, 1988
FIRST LINCOLN INVESTMENTS, 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
INFINITY FINANCIAL SERVICES
CRD#: 144302 / SEC#: , 8-67647
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
