Mark J. Ertel
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 John Ertel was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2013 - January 2, 2024
CAPITAL ADVISORY SERVICES, LLC
May 21, 2013 - October 24, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 21, 2013 - December 31, 2023
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 16, 2012 - May 28, 2013
MML INVESTORS SERVICES, LLC
October 20, 2005 - March 31, 2011
EQUITABLE ADVISORS, LLC
October 18, 2005 - March 31, 2011
EQUITABLE ADVISORS, LLC
November 12, 2004 - August 16, 2005
FORESTERS EQUITY SERVICES, INC.
January 24, 2003 - June 22, 2004
EQUITABLE ADVISORS, LLC
April 22, 1993 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 22, 1993 - June 22, 2004
EQUITABLE ADVISORS, LLC
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
CAPITAL ADVISORY SERVICES, LLC
CRD#: 121227 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,279 |
| AUM (Assets Under Management) | $ 78,107,730 |
Red Flags
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