Mark Cortazzo
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CRD#: 1995986
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 Cortazzo, CFP®, CIMA®, who also goes by Mark Anthony Cortazzo, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1989. Mark had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Biography
Mark’s extensive background in the financial services industry includes working for one of the largest brokerage firms in the U.S., one of the largest banks in the Northeast, and one of the largest insurance companies in the world. A widely respected figure within the industry, Mark’s long-running track record of success has continued in his new role as a Senior Vice President, Financial Advisor. His insight and experience enable him to offer clients exceptional advice and guidance on their journey along the path to a financially independent future.
Over the past 30 years, Mark has been profiled in many industry publications and has earned numerous awards and accolades. Forbes has recognized Mark on the Forbes List of Top Financial Security Professionals (2021-2022)*, America’s Top 250 Wealth Advisors1 as well as a Best-In-State Advisor.2. In addition, he has been named a Barron’s Top Advisor3 for 12 years and as the top ranked independent advisor in the state for five of those years. NJBIZ selected Mark for the inaugural Leaders in Finance awards program4 and as one of the Top Forty Under 40 honorees5. Other achievements include being named to the Top Advisor list by the Financial Times6, becoming a Research magazine Advisor Hall of Fame inductee7, and being awarded Advisor of the Year by Boomer Market Advisor magazine8. He was also named a FIVE STAR Wealth Manager (2017-2023)9. He often serves as a resource for both local and national media.
*Awarded 7/28/22 for the period of 12/31/20 - 12/31/21. Awarded 10/19/21 for the period of 12/31/19 - 12/31/20. The ranking, developed by SHOOK Research, is based on an algorithm of qualitative data gathered through due diligence interviews and quantitative data. Professionals do not pay a fee to be considered or placed on the final list. The ranking is not indicative of a professional’s future performance and may not be representative of any one client’s experience.
1 The Forbes ranking, developed by SHOOK Research, is based on an algorithm of qualitative and quantitative data, rating thousands of wealth advisors with a minimum of seven years of experience and weighing factors such as revenue trends, assets under management, compliance records, industry experience and best practices learned through telephone and in-person interviews. Awarded on 8/24/21, 8/25/20, 9/10/19, 9/11/18, and 8/23/16 for the one-year period ending March 31st of the previous year.
2 The Forbes ranking, developed by SHOOK Research, is based on an algorithm of qualitative criteria, mostly gained through telephone and in-person due diligence interviews, and quantitative data. The algorithm weights factors such as industry experience, revenue trends, assets under management, compliance records and those that encompass best practices in their practices and approach to working with clients. Awarded on 2/27/18, 2/20/19, 1/16/20, 2/11/21, and 4/7/22 for the one-year period ending June 30th of the previous year.
3 Top Advisor List is based on assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work. Awarded on 2/9/09, 2/22/10, 2/19/11, 2/20/12, 2/15/13, 2/24/14, 2/23015, 3/5/16, 3/6/17, 3/13/20, 3/12/21, and 3/11/22 for the one-year period ending September 30th of the previous year.
4 NJBIZ’s independent panel of judges reviewed both nominations and extensive applications to make their selections. Honorees were selected based on industry and community involvement and achievement through their energy and innovative ideas. Awarded 3/25/21 for the period of March 2020 - January 2021.
5 Award is based on age, leadership, and a record of achievement. Awarded 3/1/04 for the period of April 2003 - February 2004.
6 Based on data gathered from fi rms and verified by broker-dealer home offices, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s performance in six primary areas, including assets under management, asset growth, compliance record, experience, credentials and accessibility as identified by the FT. Neither the brokerages nor the advisors pay a fee to The Financial Times in exchange for inclusion in the FT 400. Awarded 3/25/15 for the period of 9/30/13 - 9/30/14.
7 Based on a minimum of 15 years industry experience, assets under management, client service, peer recognition, and selected by a panel of judges. Awarded 12/1/03 for the period of January 2003 - November 2003.
8 Based on his extensive industry knowledge and experience, the ability to navigate his clients through the downturn, his approach to addressing longevity and income issues, and the power to stand out from the competition. Awarded 5/1/2010 for the period of June 2009 - April 2010.
9 Award criteria based on 10 objective criteria associated with providing quality services to clients such as credentials experience and assets under management among other factors. Wealth managers do not pay a fee to be considered or placed on the final list of FIVE STAR Wealth Managers. Awarded 11/01/16 for the period of 2/25/16 - 10/07/16. Awarded 12/01/17 for the period of 2/21/17 - 10/12/17. Awarded 12/01/18 for the period of 3/21/18 - 10/12/18. Awarded 12/01/19 for the period of 3/01/19 - 10/16/19. Awarded 12/01/20 for the period of 3/30/20 - 10/23/20. Awarded 12/01/21 for the period of 4/12/21 - 10/15/21. Awarded 12/01/22 for the period of 3/21/22 - 10/18/22.
Question & Answer
What are your service offerings?
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
No
Aliases
Mark Anthony Cortazzo
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.
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®
CFP®
Start date: 1996
Experience
Past
July 19, 2021 - July 1, 2025
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
NAPLES, FL
Past
July 1, 2021 - July 1, 2025
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
NAPLES, FL
Past
July 1, 2021 - June 30, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
PARSIPPANY, NJ
Past
January 19, 2018 - June 30, 2021
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
Parsippany, NJ
Past
November 8, 2012 - January 19, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
PARSIPPANY, NJ
Past
March 31, 2004 - July 14, 2021
MACRO CONSULTING GROUP
RIA
CRD#: 108755
PARSIPPANY, NJ
Past
February 26, 2002 - November 13, 2012
SII INVESTMENTS, INC.
RIA
CRD#: 2225
PARSIPPANY, NJ
Past
June 9, 1997 - November 13, 2012
SII INVESTMENTS, INC.
BD
CRD#: 2225
PARSIPPANY, NJ
Past
February 10, 1995 - June 9, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
October 26, 1993 - February 1, 1995
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
September 12, 1992 - November 12, 1993
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
March 14, 1990 - August 26, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 25, 1989 - February 24, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
WE
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
CRD#: 130139 / SEC#: , 8-66305
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Mailing Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Phone number
(763) 417-1700
Established
Minnesota since 06/02/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEALTH ENHANCEMENT GROUP, LLC | OWNER | |
| CAHN, JAMES LOREN | VICE PRESIDENT | 6052512 |
| CAIN, STEPHANIE M | HEAD OF SUPERVISION | 4081085 |
| CLARK, LISA LYNN | OPERATIONS OFFICER | 2271616 |
| DEKKO, JEFFREY THOMAS HAROLD | VICE PRESIDENT | 4648018 |
| DIECKHAUS, JOSEPH ALAN | CHIEF COMPLIANCE OFFICER | 5374613 |
| FURCHT, ELIZABETH ANN | SECRETARY | 5778785 |
| WINDORSKI, KELLY JOSEPH | CHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL | 3211118 |
Red Flags
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Company Information
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
Senior Vice President, Financial AdvisorCRD#: 130139TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
