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MF

Mark R. Forbes

WELLTH ADVISORY SERVICES
Tulsa, OK 74114
Some features on this profile are disabled
CRD#: 2302891
MF

Professional summary

Mark Richard Forbes is a registered financial advisor currently at WELLTH ADVISORY SERVICES, LLC located in Tulsa, Oklahoma.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Mark has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Forbes'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

June 28, 2024 - Present

WELLTH ADVISORY SERVICES, LLC

Office #1: 2727 East 21st Street Suite 103, Tulsa, OK 74114
RIA
CRD#: 330537
Tulsa, OK
Past

April 1, 2019 - July 4, 2024

GLOBAL RETIREMENT PARTNERS LLC

RIA
CRD#: 172011
Tulsa, OK
Past

April 1, 2019 - December 23, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
TULSA, OK
Past

April 18, 2016 - April 1, 2019

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
Tulsa, OK
Past

August 8, 2014 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
Tulsa, OK
Past

August 8, 2014 - April 1, 2019

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
Tulsa, OK
Past

February 8, 2010 - August 8, 2014

FINANCIAL TELESIS INC

RIA
CRD#: 31012
TULSA, OK
Past

October 14, 2009 - August 8, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
TULSA, OK
Past

May 21, 2004 - October 21, 2009

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
TULSA, OK
Past

October 11, 2002 - May 18, 2004

GBS RETIREMENT SERVICES, INC.

BD
CRD#: 34889
ROLLING MEADOWS, IL
Past

August 23, 1993 - October 9, 2002

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

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".
WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA
Registered Investment Advisory firm - (4/26/2024 Approved)

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
California
(6/28/2024)
IAR
Colorado
(11/1/2024)
IAR
Kansas
(7/18/2024)
IAR
Missouri
(7/18/2024)
IAR
Oklahoma
(6/28/2024)
IAR
Texas
(6/28/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/2/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/19/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/25/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/20/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA
Registered Investment Advisory firm - (4/26/2024 Approved)
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Contact information

Main Address
Shorewood, IL
Mailing Address
Phone number
(866) 777-4015
Established
Firm type
Fiscal year end
# of Employees
72

SEC notice filing (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WELLTH ADV PART 2A (12/12/2025)
WELLTH ADV WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,338
AUM (Assets Under Management)$ 23,574,040,155

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.

Company Information

WELLTH ADVISORY SERVICES, LLC

CRD#: 330537Tulsa, OK 74114

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