MW
Mark A. Wiacek
CL WEALTH MANAGEMENT LLC
San Marino, CA 91108
Some features on this profile are disabled
CRD#: 2135299
MW
Professional summary
Mark Andrew Wiacek, who also goes by Mark A Wiacek, is a registered financial advisor currently at CL WEALTH MANAGEMENT LLC located in San Marino, California and CABOT LODGE SECURITIES LLC located in San Marino, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Mark has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark A Wiacek
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.
SAN MARINO INVESTMENT SERVICES, INVESTMENT RELATED, PARTNERSHIP, SAN MARINO, CA, PARTNER-INVESTMENT MANAGER, COMPLIANCE MANAGER, OFFICE MANAGER, 7/2020, 160 HOURS PER MONTH, 120 HOURS PER MONTH DURING TRADING HOURS, HANDLE EVERY ASPECT OF A FINANCIAL SERVICES FIRM, FROM CLIENT SERVICES, TO COMPLIANCE, MARKETING, SALES AND OFFICE MANAGEMENT. Insurance Agent Prospecting, Self-employed, Universal Health and Life, 2 Hours Per Month, 2 Hours Per Month during Trading Hours
CRS (Client Relationship Summary) - RIA
Click below to view Mark Andrew Wiacek'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
September 26, 2017 - Present
CL WEALTH MANAGEMENT LLC
Office #1: 2596 Mission Street, Suite 200, San Marino, CA 91108RIA
CRD#: 134922
San Marino, CA
Current
September 26, 2017 - Present
CABOT LODGE SECURITIES LLC
Office #1: 2596 Mission St. Suite 200, San Marino, CA 91108BD
CRD#: 159712
San Marino, CA
Past
June 29, 2016 - August 16, 2017
TRI-STAR FINANCIAL
RIA
CRD#: 148450
EL SEGUNDO, CA
Past
June 13, 2016 - July 12, 2016
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
EL SEGUNDO, CA
Past
June 10, 2016 - July 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
EL SEGUNDO, CA
Past
November 12, 2015 - December 28, 2015
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
San Marino, CA
Past
November 3, 2015 - June 13, 2016
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
San Marino, CA
Past
October 30, 2015 - June 13, 2016
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
San Marino, CA
Past
October 1, 2013 - November 11, 2015
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
SAN MARINO, CA
Past
August 7, 2012 - November 11, 2015
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
SAN MARINO, CA
Past
April 1, 2010 - August 30, 2012
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
WESTCHESTER, CA
Past
March 31, 2010 - August 30, 2012
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
SANTA ANA, CA
Past
September 7, 2006 - March 26, 2010
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
SANTA ANA, CA
Past
March 23, 2005 - March 26, 2010
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SANTA ANA, CA
Past
July 11, 2003 - March 23, 2005
NATIONS FINANCIAL GROUP, INC.
BD
CRD#: 44181
CEDAR RAPIDS, IA
Past
November 13, 2002 - July 29, 2003
ANDREW GARRETT INC.
BD
CRD#: 29931
NEW YORK, NY
Past
December 24, 1997 - May 21, 2002
SOUTHERN FINANCIAL GROUP, INC.
BD
CRD#: 16714
COLUMBIA, SC
Past
August 20, 1992 - July 16, 1993
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
April 5, 1991 - May 1, 1992
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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".
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)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
California(9/26/2017)
IAR
California(9/26/2017)
RR
Colorado(9/9/2020)
RR
Florida(8/21/2018)
RR
Nevada(11/9/2020)
RR
New Mexico(9/26/2017)
RR
North Carolina(2/4/2021)
RR
Texas(1/13/2022)
RR
Virginia(5/5/2021)
RR
Washington(9/22/2020)
RR
Wyoming(6/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173
Mailing Address
Phone number
(212) 388-6200
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,073 |
| AUM (Assets Under Management) | $ 628,729,517 |
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.
