Mark E. Laflamme
Professional summary
Mark Ernest Laflamme is a registered financial advisor currently at OSAIC WEALTH, INC. located in Sarasota, Florida.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Mark has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Ernest Laflamme's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Ernest Laflamme's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 8, 2025 - Present
OSAIC WEALTH, INC.
August 8, 2025 - Present
OSAIC WEALTH, INC.
December 7, 2017 - August 18, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
December 7, 2017 - August 18, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
October 27, 2017 - December 20, 2017
CETERA WEALTH SERVICES, LLC
November 17, 2014 - January 2, 2018
UNITED CAPITAL FINANCIAL ADVISORS
November 6, 2014 - November 1, 2017
GIRARD SECURITIES, INC.
October 23, 2009 - November 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 1998 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 1, 1998 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 5, 1995 - July 1, 1998
SPECTRUM CAPITAL, LLC
August 27, 1993 - May 9, 1995
SECURITIES AMERICA, INC.
March 16, 1993 - May 3, 1993
EDWARD JONES
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/18/2025)
(8/8/2025)
(8/8/2025)
(8/8/2025)
(8/11/2025)
(8/11/2025)
(8/12/2025)
(8/8/2025)
(8/11/2025)
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(8/8/2025)
(8/19/2025)
(8/20/2025)
(8/8/2025)
(8/12/2025)
(8/20/2025)
(8/8/2025)
(8/8/2025)
(8/8/2025)
(8/8/2025)
(8/8/2025)
Exams
FINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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
OSAIC WEALTH, INC.
Financial AdvisorCRD#: 23131Sarasota, FLTRUST BUT VERIFY
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