Mark D. Snelling

SWEETWATER FINANCIAL ADVISORS

Boerne, TX

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CRD#: 1824437

Professional summary

Mark Dixon Snelling is a registered financial advisor currently at SWEETWATER FINANCIAL ADVISORS, LLC located in Boerne, Texas.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Mark has worked at 5 firms and has passed the Series 63 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 Dixon Snelling's 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

January 4, 2002 - Present

SWEETWATER FINANCIAL ADVISORS, LLC

RIA

CRD#: 118372

Boerne, TX

Past

October 1, 1997 - October 20, 1998

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

December 2, 1996 - October 1, 1997

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

August 16, 1993 - November 1, 1994

RICE FINANCIAL PRODUCTS COMPANY

CRD#: 21606

NASHVILLE, TN

Past

July 14, 1993 - July 27, 1993

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

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

Texas
(1/4/2002)

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

Series 63

Date: 7/19/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/28/1993

General Securities Representative Examination

Current Firm

SWEETWATER FINANCIAL ADVISORS, LLC

CRD#: 118372 / SEC#: 801-62459

RIA

Registered Investment Advisory firm - (4/11/2019 Terminated)

Texas

Registered Investment Advisory firm - (3/29/2019 Approved)

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).

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Contact information

Main Address

4655 Sweetwater Blvd. Suite 300, Sugar Land, TX 77479

Mailing Address

Phone number

(281) 491-3333

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	440
AUM (Assets Under Management)	$ 95,638,039

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Mark D. Snelling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Dixon Snelling's CRS (Customer Relationship Summary).

Certified licenses

Experience

SWEETWATER FINANCIAL ADVISORS, LLC

OSAIC FS, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

RICE FINANCIAL PRODUCTS COMPANY

CIBC WORLD MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/1993

Series 7

Date: 6/28/1993

Current Firm

SWEETWATER FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SWEETWATER FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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