Mark T. Rochford

BAKER TILLY WEALTH MANAGEMENT

INDIANAPOLIS, IN 46240

Some features on this profile are disabled

CRD#: 2209891

Professional summary

Mark Thomas Rochford, who also goes by Mark Rochford, is a registered financial advisor currently at BAKER TILLY WEALTH MANAGEMENT, LLC located in Indianapolis, Indiana.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Mark has worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Rochford

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) BAKER TILLY WEALTH MANAGEMENT, LLC ("BTWM") IS A CONTROLLED SUBSIDIARY OF BAKER TILLY ADVISORY GROUP, LP ("BAKER TILLY"). SALARY AND VARIABLE COMPENSATION (IF APPLICABLE) IS PAID BY BAKER TILLY. 100% OF TIME IS SPENT ON ADVISORY SERVICES WITH BTWM. THERE IS AN EXPENSE SHARING AGREEMENT IN PLACE BETWEEN BTWM & BAKER TILLY WHICH GOVERNS SHARING OF PERSONNEL AND RESOURCES. 2) MARK ROCHFORD, OWNER; REAL ESTATE INVESTING; START DATE 2/19/2024; LESS THAN 15 HOURS PER MONTH SPENT ON REAL ESTATE INVESTMENT ACTIVITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Thomas Rochford's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 23, 2020 - Present

BAKER TILLY WEALTH MANAGEMENT, LLC

Office #1: 8365 Keystone Crossing Ste 300, Indianapolis, IN 46240

RIA

CRD#: 167811

INDIANAPOLIS, IN

Past

March 18, 2019 - December 26, 2020

BAKER TILLY INVESTMENT SERVICES

RIA

CRD#: 300822

MADISON, WI

Past

April 26, 2017 - March 29, 2019

UMBAUGH CASH ADVISORY SERVICES, LLC

RIA

CRD#: 136904

INDIANAPOLIS, IN

Past

July 21, 2014 - September 2, 2014

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

BLOOMFIELD HILLs, MI

Past

February 17, 2004 - March 11, 2014

PFM FUND DISTRIBUTORS, INC.

CRD#: 114474

ANN ARBOR, MI

Past

December 10, 2003 - February 27, 2004

RANGEMARK CAPITAL MARKETS, INC.

CRD#: 42025

GREENWICH, CT

Past

October 1, 2001 - February 27, 2003

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

October 20, 2000 - June 11, 2001

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

January 7, 2000 - June 8, 2000

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

July 31, 1999 - January 10, 2000

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

August 19, 1996 - October 29, 1999

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

January 29, 1993 - August 1, 1996

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

Past

February 12, 1992 - November 30, 1992

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

BAKER TILLY WEALTH MANAGEMENT, LLC

BAKER TILLY | BAKER TILLY WEALTH MANAGEMENT, LLC | BAKER TILLY INVESTMENT SERVICES | BAKER TILLY FINANCIAL, LLC | BAKER TILLY FINANCIAL

CRD#: 167811 / SEC#: 801-119352

RIA

Registered Investment Advisory firm - (8/25/2020 Approved)

Louisiana

Registered Investment Advisory firm - (9/29/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/23/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (9/23/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Indiana
(12/23/2020)

IAR

Michigan
(4/24/2023)

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

IAR

Series 65

Date: 4/26/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/11/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/29/1996

General Securities Principal Examination

Current Firm

BAKER TILLY WEALTH MANAGEMENT, LLC

BAKER TILLY | BAKER TILLY WEALTH MANAGEMENT, LLC | BAKER TILLY INVESTMENT SERVICES | BAKER TILLY FINANCIAL, LLC | BAKER TILLY FINANCIAL

CRD#: 167811 / SEC#: 801-119352

RIA

Registered Investment Advisory firm - (8/25/2020 Approved)

Louisiana

Registered Investment Advisory firm - (9/29/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/23/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (9/23/2020 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4807 Innovate Lane, Madison, WI 53718

Mailing Address

Po Box 7398, Madison, WI 53707-7398

Phone number

(833) 761-0673

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/29/2025)

Regulatory assets under management

Total Number of Accounts	2,165
AUM (Assets Under Management)	$ 4,601,242,128

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
09/11/2023	Cover Page	Report
10/04/2022	Cover Page	Report

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.

Similar Advisors

John Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Brian Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Tammy Williams

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark T. Rochford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Thomas Rochford's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAKER TILLY INVESTMENT SERVICES

UMBAUGH CASH ADVISORY SERVICES, LLC

SECURITIES SERVICE NETWORK, LLC

PFM FUND DISTRIBUTORS, INC.

RANGEMARK CAPITAL MARKETS, INC.

BNY MELLON SECURITIES LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

GUARANTY BROKERAGE SERVICES, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

GUARANTY BROKERAGE SERVICES, INC.

THE HUNTINGTON INVESTMENT COMPANY

EDWARD JONES

Primary Firm SEC Registration

BAKER TILLY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2017

Series 63

Date: 3/2/1992

Series 7

Date: 2/11/1992

Series 24

Date: 11/29/1996

Current Firm

BAKER TILLY WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BAKER TILLY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors