Mark C. Loftin

WAGNER LOFTIN INVESTMENT SERVICES LLC

Pleasant Hill, CA 94523

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CRD#: 2221091

Professional summary

Mark Christopher Loftin, who also goes by Mark Chris Loftin, is a registered financial advisor currently at WAGNER LOFTIN INVESTMENT SERVICES LLC located in Pleasant Hill, California and OSAIC WEALTH, INC. located in Pleasant Hill, California.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Mark has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Chris Loftin

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. WAGNER LOFTIN INVESTMENT SERVICES LLC POSITION: Financial Advisor NATURE: LLC - Registered Investment Adviser INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2011 ADDRESS: 3478 Buskirk Ave., STE 333, Pleasant Hill CA 94523, United States DESCRIPTION: Manage clients acccounts.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Christopher Loftin'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

July 20, 2011 - Present

WAGNER LOFTIN INVESTMENT SERVICES LLC

Office #1: 3478 Buskirk Avenue Suite 333, Pleasant Hill, CA 94523

RIA

CRD#: 109770

Pleasant Hill, CA

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 3478 Buskirk Ave Suite 333, Pleasant Hill, CA 94523

RIA

CRD#: 23131

Pleasant Hill, CA

Past

June 26, 2009 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

PLEASANT HILL, CA

Past

April 5, 2002 - January 8, 2008

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

July 14, 1997 - March 21, 2000

MAM SECURITIES, LLC

CRD#: 41140

SAN FRANCISCO, CA

Past

February 24, 1995 - July 7, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

January 5, 1995 - February 24, 1995

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

SACRAMENTO, CA

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".

WAGNER LOFTIN INVESTMENT SERVICES LLC

RONALD JOSEPH WAGNER | WAGNER, LOFTIN INVESTMENT SERVICES | WAGNER LOFTIN INVESTMENT SERVICES LLC

CRD#: 109770 / SEC#: 801-63145

RIA

Registered Investment Advisory firm - (5/18/2004 Approved)

California

Registered Investment Advisory firm - (5/18/2004 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.

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

Arizona
(9/1/2023)

IAR

California
(7/20/2011)

California
(9/1/2023)

Florida
(9/1/2023)

Georgia
(9/1/2023)

Idaho
(9/1/2023)

Indiana
(9/1/2023)

Maryland
(1/10/2024)

Massachusetts
(6/25/2025)

Montana
(9/1/2023)

Oklahoma
(9/1/2023)

Oregon
(9/1/2023)

Texas
(9/1/2023)

Utah
(9/1/2023)

Washington
(9/1/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/11/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/4/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

WAGNER LOFTIN INVESTMENT SERVICES LLC

RONALD JOSEPH WAGNER | WAGNER, LOFTIN INVESTMENT SERVICES | WAGNER LOFTIN INVESTMENT SERVICES LLC

CRD#: 109770 / SEC#: 801-63145

RIA

Registered Investment Advisory firm - (5/18/2004 Approved)

California

Registered Investment Advisory firm - (5/18/2004 Terminated)

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Contact information

Main Address

3478 Buskirk Avenue Suite 333, Pleasant Hill, CA 94523

Mailing Address

Phone number

(925) 930-7176

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,031
AUM (Assets Under Management)	$ 478,523,345

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.

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Firm Stability Insights

Mark C. Loftin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Christopher Loftin's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

VP DISTRIBUTORS LLC

MAM SECURITIES, LLC

MONTGOMERY SECURITIES

PENSION PLANNERS SECURITIES, INC.

Primary Firm SEC Registration

WAGNER LOFTIN INVESTMENT SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/11/1995

SIE

Date: 10/1/2018

Series 7

Date: 10/11/1996

Series 6

Date: 1/4/1995

FINRA

Current Firm

WAGNER LOFTIN INVESTMENT SERVICES LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAGNER LOFTIN INVESTMENT SERVICES LLC

TRUST BUT VERIFY

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