Mark E. Carter

FINANCIAL STRATEGIES GROUP,

Okemos, MI 48864

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CRD#: 1833030

Professional summary

Mark Ellis Carter, ChFC® is a registered financial advisor currently at FINANCIAL STRATEGIES GROUP, INC located in Okemos, Michigan.

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 63, SIE, Series 22 and Series 6 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.

1.CARTER REAL ESTATE HOLDINGS, LLC; 6191 VAN VLEET RD., SWARTZ CREEK, MI 48473; WAS SET UP FOR THE PURCHASE OF RENTAL PROPERTY; START: 01/2014; APPROXIMATELY 2 HRS PER WEEK; OWNER; INVESTMENT RELATED; 2. FINANCIAL STRATEGIES GROUP INSURANCE AGENCY, LLC; 2270 JOLLY OAK RD., SUITE 2, OKEMOS, MI 48864; INVESTMENT RELATED; INSURANCE AGENT; START: 03/2019; SELLS LIFE, DISABILITY, LTC, AND ANNUITIES; APPROXIMATELY 10 HOURS PER WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Ellis Carter'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®

ChFC^®

Chartered Financial Consultant

Experience

Current

March 5, 2019 - Present

FINANCIAL STRATEGIES GROUP, INC

Office #1: 2270 Jolly Oak Road., Suite 2, Okemos, MI 48864

RIA

CRD#: 289054

Okemos, MI

Past

December 22, 2010 - March 4, 2019

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

SWARZ CREEK, MI

Past

July 20, 1988 - March 4, 2019

NYLIFE SECURITIES LLC

CRD#: 5167

GRAND RAPIDS, MI

Past

May 17, 1988 - July 14, 1988

PFS INVESTMENTS INC.

CRD#: 10111

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".

FINANCIAL STRATEGIES GROUP, INC

FINANCIAL STRATEGIES GROUP, INC | FINANCIAL STRATEGIES GROUP, LLC | FINANCIAL STRATEGIES GROUP, INC.

CRD#: 289054 / SEC#: 801-110898

RIA

Registered Investment Advisory firm - (8/1/2017 Approved)

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

Michigan
(3/5/2019)

IAR

Texas
(7/17/2024)

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: 5/16/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 11/29/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 5/16/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINANCIAL STRATEGIES GROUP, INC

FINANCIAL STRATEGIES GROUP, INC | FINANCIAL STRATEGIES GROUP, LLC | FINANCIAL STRATEGIES GROUP, INC.

CRD#: 289054 / SEC#: 801-110898

RIA

Registered Investment Advisory firm - (8/1/2017 Approved)

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Contact information

Main Address

2270 Jolly Oak Road., Suite 2, Okemos, MI 48864

Mailing Address

Phone number

(800) 804-0420

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (9/3/2025)

Regulatory assets under management

Total Number of Accounts	3,170
AUM (Assets Under Management)	$ 550,090,756

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.

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Advisor Monitoring

Firm Stability Insights

Mark E. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Ellis Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

PFS INVESTMENTS INC.

Primary Firm SEC Registration

FINANCIAL STRATEGIES GROUP, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/1988

SIE

Date: 10/1/2018

Series 22

Date: 11/29/1989

Series 6

Date: 5/16/1988

Current Firm

FINANCIAL STRATEGIES GROUP, INC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL STRATEGIES GROUP, INC

TRUST BUT VERIFY

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