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Mark William Eicker

CRD# 2324993·Registered 1993 - 2019
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark William Eicker, who also goes by Mark W Eicker, Mark Eicker, was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1993 - 2019. Mark had worked at 11 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mark W Eicker, Mark Eicker

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

33 years in the financial services industry

Current & Past Employments

STERLING GLOBAL STRATEGIES, LLC·CRD# 172404
RIA
Carlsbad, CA
January 2, 2015 - July 2, 2019
STERLING GLOBAL STRATEGIES LLC·CRD# 155166
RIA
Carlsbad, CA
March 8, 2012 - December 31, 2014
ALLSTATE FINANCIAL SERVICES, LLC·CRD# 18272
BD
Los Angeles, CA
August 26, 2009 - March 9, 2010
NRP FINANCIAL, INC.·CRD# 103717
BD
Carlsbad, CA
October 21, 2008 - September 1, 2009
PACIFIC SELECT DISTRIBUTORS, LLC·CRD# 4452
BD
Newport Beach, CA
December 18, 2007 - April 25, 2008
TOUCHSTONE SECURITIES, LLC·CRD# 1526
BD
Cincinnati, OH
January 18, 2006 - December 19, 2007
GLOBAL ATLANTIC DISTRIBUTORS, LLC·CRD# 8326
BD
Hartford, CT
October 12, 2004 - January 3, 2006
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
Carlsbad, CA
July 27, 2001 - September 15, 2003
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
July 6, 2001 - September 15, 2003
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
January 30, 1994 - July 11, 2001
FORTA FINANCIAL GROUP, INC.·CRD# 28784
BD
Austin, TX
June 18, 1993 - September 16, 1993
CHATFIELD DEAN & CO., INC.·CRD# 14714
BD
Greenwood Village, CO
March 11, 1993 - June 10, 1993

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Current Firm

SG
STERLING GLOBAL STRATEGIES, LLC

NORTHWESTERN WEALTH MANAGEMENT & INSURANCE SERVICES | STERLING GLOBAL STRATEGIES, LLC

CRD#: 172404 / SEC#: 801-80635

Contact Information

Main Address

1808 Aston Ave., Suite 245, Carlsbad, CA 92008

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FIRM BROCHURE - INSTITUTIONAL SERVICES (3/4/2019)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2011About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1993About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1993About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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