Mark D. Spiers
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 Duane Spiers was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2013 - September 30, 2015
PRAIRIE WEALTH ADVISORS, INC.
January 1, 2001 - August 1, 2013
MACRO WEALTH ADVISORS, INC.
April 23, 1998 - December 31, 2000
SECURITIES AMERICA, INC.
June 16, 1994 - May 6, 1998
CETERA WEALTH SERVICES, LLC
January 5, 1994 - September 30, 1994
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
PRAIRIE WEALTH ADVISORS, INC.
CRD#: 165266 / SEC#: 801-77062
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
PRAIRIE WEALTH ADVISORS, INC.
CRD#: 165266 / SEC#: 801-77062
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 388 |
| AUM (Assets Under Management) | $ 472,221,240 |
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.
