Mark E. Rael

Some features on this profile are disabled

CRD#: 2378219

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 Edmund Rael, CFP®, who also goes by Mark Rael, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark Rael

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.

1. 01/27/2022 - Altamira Financial Partners LLC - DBA: Altamira Financial Group LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/01/2022 - 160 Hours Per Month/130 Hours During Securities Trading. 2. 02/01/2022 - Altamira Financial Group LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 01/01/2022 - 160 Hours Per Month/140 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Altamira Financial Group LLC, an independent investment advisor firm. I started this business activity in 01/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Past

December 20, 2021 - August 11, 2022

ALTAMIRA FINANCIAL GROUP, LLC

RIA

CRD#: 316907

SANTA FE, NM

Past

March 31, 2014 - January 3, 2022

FINANCIAL PARTNERS, LLC

RIA

CRD#: 170002

SANTA FE, NM

Past

January 7, 2013 - November 2, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

SANTA FE, NM

Past

January 3, 2013 - August 18, 2022

LPL FINANCIAL LLC

CRD#: 6413

SANTA FE, NM

Past

August 22, 2011 - January 8, 2013

WADDELL & REED

RIA

CRD#: 866

ALBUQUERQUE, NM

Past

August 19, 2011 - January 8, 2013

WADDELL & REED

CRD#: 866

ALBUQUERQUE, NM

Past

March 7, 2008 - August 26, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

SANTE FE, NM

Past

March 4, 2008 - August 26, 2011

LPL FINANCIAL LLC

CRD#: 6413

SANTE FE, NM

Past

May 17, 2007 - March 4, 2008

IFMG SECURITIES, INC.

CRD#: 14416

DUBUQUE, IA

Past

September 21, 2004 - May 24, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SANTA FE, NM

Past

January 1, 1998 - July 7, 1998

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

August 13, 1997 - January 1, 1998

NATIONSSECURITIES

CRD#: 32542

Past

February 9, 1994 - August 13, 1997

BOATMEN'S INVESTMENT SERVICES, INC.

CRD#: 17533

ST. LOUIS, MO

Past

August 31, 1993 - December 2, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 31, 1993 - December 2, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

ALTAMIRA FINANCIAL GROUP, LLC

CRD#: 316907 / SEC#: 801-132045

RIA

Registered Investment Advisory firm - (3/3/2025 Approved)

California

Registered Investment Advisory firm - (4/3/2025 Terminated)

Colorado

Registered Investment Advisory firm - (3/5/2025 Terminated)

New Mexico

Registered Investment Advisory firm - (3/4/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/27/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/2/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 4/11/2005

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/1/2004

General Securities Principal Examination

Current Firm

ALTAMIRA FINANCIAL GROUP, LLC

CRD#: 316907 / SEC#: 801-132045

RIA

Registered Investment Advisory firm - (3/3/2025 Approved)

California

Registered Investment Advisory firm - (4/3/2025 Terminated)

Colorado

Registered Investment Advisory firm - (3/5/2025 Terminated)

New Mexico

Registered Investment Advisory firm - (3/4/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1012 Marquez Place Unit 204a, Santa Fe, NM 87505

Mailing Address

Phone number

(505) 477-3334

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (3/4/2025)

2A BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	201
AUM (Assets Under Management)	$ 115,920,360

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark E. Rael

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINANCIAL PARTNERS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WADDELL & REED

WADDELL & REED

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

NATIONSSECURITIES

BOATMEN'S INVESTMENT SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ALTAMIRA FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/2004

Series 65

Date: 6/2/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/20/2004

Series 51

Date: 4/11/2005

Series 24

Date: 11/1/2004

Current Firm

ALTAMIRA FINANCIAL GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALTAMIRA FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Similar Advisors