Mark C. Frey
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 Charles Frey, CFP® was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1998
Experience
January 9, 2007 - April 22, 2019
FIDELIS FINANCIAL PLANNING, LLC
October 28, 1994 - November 3, 2000
AVANTAX INVESTMENT SERVICES, INC.
May 19, 1994 - November 3, 1994
ASSIST INVESTMENT MANAGEMENT COMPANY, INC.
November 1, 1993 - February 14, 1994
CUNA BROKERAGE SERVICES, INC.
September 9, 1993 - October 29, 1993
CENTURY INVESTORS OF AMERICA, INC.
January 28, 1993 - September 2, 1993
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
FIDELIS FINANCIAL PLANNING, LLC
CRD#: 141698 / SEC#: 801-131701
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELIS FINANCIAL PLANNING, LLC
CRD#: 141698 / SEC#: 801-131701
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 500 |
| AUM (Assets Under Management) | $ 142,000,000 |
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.
