MB
Mark S. Batzel
THE ASCENT GROUP
Virginia Beach, VA 23462
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CRD#: 1911220
MB
Professional summary
Mark Stephen Batzel, who also goes by Mark S Batzel, is a registered financial advisor currently at THE ASCENT GROUP, LLC located in Virginia Beach, Virginia and OSAIC WEALTH, INC. located in Virginia Beach, Virginia.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark S Batzel
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. Summit Group of Virginia, LLP -investment related; 5029 Corporate Woods Drive Suite 200, Virginia Beach, VA 23462; financial services; owner; 1/13/2023; 160 hrs/month; 160 hrs during trading; owner 2. SUMMIT GROUP OF VIRGINIA POSITION: Partner/Owner NATURE: DBA for conducting business INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/1996 ADDRESS: 192 Ballard Court, Suite 400, Virginia Beach VA 23462, United States DESCRIPTION: Summit Group of Virginia has been our DBA for 30 years. 3. SUMMIT PARTNERS, LLC POSITION: Member NATURE: This LLC was formed by Jeffrey Silverman, Mark Batzel, and Craig Stanley to make a contribution to this LLC for investment purposes. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/23/2019 ADDRESS: 192 Ballard Court, Suite 400, Virginia Beach VA 23462 DESCRIPTION: I am a member with no duties or responsibilities involved. 4. ALERA GROUP, INC. POSITION: Associate NATURE: My Agency sold its assets to Alera Group, Inc. Moving forward, I will be employed by Alera Group, Inc., but will continue to service my BD clients as an RR. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/02/2023 ADDRESS: 3 Parkway North, Suite 500, Deerfield IL 60015 DESCRIPTION: As an associate with Alera Group, Inc., I will continue to operate as I do today with my clients. I will continue to act as an RR, IAR, and insurance agent as applicable to continue serving my existing clients as well as new clients. 5. INDEPENDENT INSURANCE AGENT - FIXED PRODUCTS POSITION: Agent NATURE: Sale of fixed insurance products INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 20 START DATE: 01/02/1990 ADDRESS: 192 Ballard Court, Suite 400, Virginia Beach VA 23462 DESCRIPTION: Sales 6. EXZEL MANAGEMENT, LLC POSITION: Member NATURE: This LLC is used for joint real estate purchases INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/30/2016 ADDRESS: 1311 Jamestown Road, Suite 203, Williamsburg VA 23185 DESCRIPTION: No Duties. 7. BALLARD SUMMIT, LLC POSITION: Member NATURE: Purchasing of a building for our company. The building is being purchased as our lease is expiring. We need more space, and owning this building is a chance to continue to operate and build value. I will receive no compensation but hope to profit by building equity. The other members of Ballard Summit, LLC are close friends and family. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2022 ADDRESS: 192 Ballard Court, Virginia Beach VA 23462 DESCRIPTION: I am an owner and tenant of 192 Ballard Court. 8. BALLARD BATZEL, LLC POSITION: Managing Member NATURE: This LLC holds a family interest in Summit Ballard, LLC. Members are Mark Batzel, Katherine Batzel, Audrey Batzel, Natalie Batzel, Thomas Batzel. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/29/2022 ADDRESS: 4036 Bridgehampton Lane, Virginia Beach VA 23455 DESCRIPTION: No Duties
CRS (Client Relationship Summary) - RIA
Click below to view Mark Stephen Batzel'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®
NoneExperience
Current
June 2, 2021 - Present
THE ASCENT GROUP, LLC
Office #1: 192 Ballard Court Suite 400, Virginia Beach, VA 23462RIA
CRD#: 314424
Virginia Beach, VA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 192 Ballard Court Suite 400, Virginia Beach, VA 23462RIA
BD
CRD#: 23131
Virginia Beach, VA
Past
February 2, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Virginia Beach, VA
Past
June 30, 2006 - June 7, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
VIRGINIA BEACH, VA
Past
June 30, 2006 - January 24, 2023
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
VIRGINIA BEACH, VA
Past
April 4, 2000 - June 30, 2006
CARILLON INVESTMENTS, INC.
RIA
CRD#: 14646
VIRGINIA BEACH, VA
Past
March 2, 2000 - June 30, 2006
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
VIRGINIA BEACH, VA
Past
February 13, 1989 - March 17, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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".
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
Registered Investment Advisory firm - (5/10/2021 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/23/2024)
RR
California(8/23/2024)
RR
Colorado(8/23/2024)
RR
District of Columbia(8/23/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/23/2024)
RR
Illinois(8/23/2024)
RR
Indiana(8/23/2024)
RR
Kentucky(8/23/2024)
RR
Maine(8/23/2024)
RR
Maryland(8/23/2024)
RR
Massachusetts(8/23/2024)
RR
Michigan(8/23/2024)
RR
Missouri(8/23/2024)
RR
New Jersey(8/23/2024)
RR
New York(8/23/2024)
RR
North Carolina(8/23/2024)
RR
Ohio(8/23/2024)
RR
Oregon(8/23/2024)
RR
Pennsylvania(8/23/2024)
RR
South Carolina(8/23/2024)
RR
Texas(8/23/2024)
RR
Utah(6/18/2025)
IAR
Virginia(6/2/2021)
RR
Virginia(8/23/2024)
RR
Washington(8/23/2024)
RR
West Virginia(5/1/2025)
RR
Wisconsin(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
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Contact information
Main Address
192 Ballard Court Suite 400, Virginia Beach, VA 23462
Mailing Address
Phone number
(757) 499-8300
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,304 |
| AUM (Assets Under Management) | $ 4,933,296,606 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
