Mark Andrew Mcdowell
Professional Summary
Mark Andrew Mcdowell is a registered financial advisor currently at LANDOLT SECURITIES, INC. located in Lake Bluff, Illinois. Mark is registered as a RR (Registered Representative) and started their career in finance in 1991. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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ONEAMERICA SECURITIES, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
FISN | WESTPORT ADVISORY GROUP | TORII ASSET MANAGEMENT | TK CHEN FINANCIAL SERVICES LLC | THE WEALTH PROTECTION GROUP LLC | THE WEALTH PROTECTION GROUP | LINKS FINANCIAL SERVICES | LESLIE FINANCIAL LLC | LANDOLT SECURITIES, INC.
Contact Information
Main Address
900 North Shore Drive Suite 279, Lake Bluff, IL 60044Mailing Address
900 North Shore Drive Suite 279, Lake Bluff, IL 60044Phone Number
(847) 838-5151Established
Wisconsin since 11/09/1989Firm Type
CorporationFiscal Year End
MarchFirm Size
Small# of Employees
14SEC notice filing (14 States and Territories)
Registered to provide investment advisory services in 14 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 14 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
301AUM (Assets Under Management)
$137,829,035Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
FISN | WESTPORT ADVISORY GROUP | TORII ASSET MANAGEMENT | TK CHEN FINANCIAL SERVICES LLC | THE WEALTH PROTECTION GROUP LLC | THE WEALTH PROTECTION GROUP | LINKS FINANCIAL SERVICES | LESLIE FINANCIAL LLC | LANDOLT SECURITIES, INC.
State Registrations and Notice Filings
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(2/10/2020)
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(6/10/2019)
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(5/10/2023)
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(11/17/2021)
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(7/14/2022)
(5/20/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1991About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mark Andrew Mcdowell's CRS (Customer Relationship Summary).
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