Mark A. Bakker
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 Allan Bakker 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, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2012 - December 3, 2023
RIA ADVISORY GROUP, LLC
January 1, 2001 - July 27, 2007
PARK AVENUE SECURITIES LLC
May 3, 1999 - May 1, 2012
PARK AVENUE SECURITIES LLC
October 13, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
October 30, 1993 - October 6, 1995
CUNA BROKERAGE SERVICES, INC.
April 14, 1993 - October 29, 1993
CENTURY INVESTORS OF AMERICA, INC.
Primary Firm SEC Registration
RIA ADVISORY GROUP, LLC
CRD#: 152566 / SEC#: 801-117837
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
RIA ADVISORY GROUP, LLC
CRD#: 152566 / SEC#: 801-117837
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,009 |
| AUM (Assets Under Management) | $ 456,517,836 |
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.
