Mark William Pfister | Financial Professional

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 William Pfister was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

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) PFISTER FINANCIAL SERVICES - PRESIDENT - NON-VARIABLE INSURANCE - WORTHINGTON, OH - SINCE 03/1988 - NOT INVESTMENT RELATED 2) TCP ASSET MANAGEMENT,LLC - ADVANCED PLANNING CONSULTANT - REGISTERED INVESTMENT ADVISOR - COLUMBUS, OH - SINCE 09/2020 - INVESTMENT RELATED 3) TCP ASSET MANAGEMENT, LLC - DBA NAME FOR MARKETING PURPOSES ONLY - COLUMBUS, OH - SINCE 02/2017 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 22, 2017 - June 18, 2024

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD

CRD#: 20804

Columbus, OH

Past

January 20, 2017 - June 3, 2024

TCP ASSET MANAGEMENT, LLC

RIA

CRD#: 286037

COLUMBUS, OH

Past

February 19, 2016 - January 13, 2017

TRENDENCY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 159431

Worthington, OH

Past

February 18, 2016 - December 31, 2016

SECURITIES AMERICA, INC.

BD

CRD#: 10205

Worthington, OH

Past

July 5, 2013 - September 25, 2013

SPC

RIA

CRD#: 110692

WORTHINGTON, OH

Past

December 19, 2012 - November 9, 2015

PARKLAND SECURITIES, LLC

BD

CRD#: 115368

WORTHINGTON, OH

Past

September 18, 2002 - December 20, 2012

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

WORTHINGTON, OH

Past

September 4, 2002 - December 20, 2012

WRP INVESTMENTS, INC.

BD

CRD#: 7365

WORTHINGTON, OH

Past

May 3, 1999 - October 2, 2002

PARK AVENUE SECURITIES LLC

BD

CRD#: 46173

NEW YORK, NY

Past

November 17, 1997 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD

CRD#: 6635

NEW YORK, NY

Past

October 16, 1995 - November 14, 1997

WALNUT STREET SECURITIES, INC.

BD

CRD#: 15840

EL SEGUNDO, CA

Past

March 8, 1993 - February 8, 1995

JOHN HANCOCK DISTRIBUTORS LLC

BD

CRD#: 5249

BOSTON, MA

Past

December 19, 1988 - January 22, 1993

NEW ENGLAND SECURITIES

BD

CRD#: 615

NEW YORK, NY

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".

UP

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

Series 63

Date: 6/19/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 6

Date: 12/16/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UP

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258

Mailing Address

P.o. Box 5750, Scottsdale, AZ 85261-5750

Phone number

(480) 991-0225

Established

Arizona since 08/21/1987

Firm type

Partnership

Fiscal year end

December

Firm Size

Large

# of Employees

614

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UNITED PLANNERS FINANCIAL SERVICES FORM ADV PART 2A - 8.23.2024 (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
UNITED PLANNERS' GROUP, INC.	GENERAL PARTNER
BAKER, MICHAEL A	PRESIDENT	4037933
BAKER, MICHAEL A	CHIEF EXECUTIVE OFFICE (CEO)	4037933
CUFFARI-AGASI, SHEILA JUNE	EXECUTIVE VICE PRESIDENT	2401020
HAUER, DAVE B	VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER	4018434
OLIVERIO, KENNETH WILLIAM JR	EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER	2957427
SHINDEL, CHAD TRAVIS	VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO)	6232253

Regulatory assets under management

Total Number of Accounts	41,834
AUM (Assets Under Management)	$ 10,637,349,683

Disclosures

Regulatory Event	12
Arbitration	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.

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Advisor Monitoring

Firm Stability Insights

Mark W. Pfister

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TCP ASSET MANAGEMENT, LLC

TRENDENCY CAPITAL MANAGEMENT, LLC

SECURITIES AMERICA, INC.

SPC

PARKLAND SECURITIES, LLC

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

WALNUT STREET SECURITIES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

State Registrations and Notice Filings

Exams

Series 63

Date: 6/19/2000

SIE

Date: 10/1/2018

Series 6

Date: 12/16/1988

Current Firm

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

TRUST BUT VERIFY

Contact information

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