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MS

Mark F. Sommer

Some features on this profile are disabled
CRD#: 2525917
MS

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 Francis Sommer, who also goes by Mark F Sommer, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark F Sommer

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) SWM Partners LLC, Birmingham, AL. Investment in private business, INFLCR Yes/ Yes/ 3/14/2018 2)- NAME OF OTHER BUSINESS: Abigail Elizabeth Clark Sommer Trust dtd 05/18/2018 and Abigail Elizabeth Clark Trust dtd 06/17/2019 - INVESTMENT RELATED?: Yes - ADDRESS:274 Berkeley Drive, Birmingham,Alabama 35242, US - NATURE OF THE BUSINESS: Investment Trust for the benefit of Abigail Sommer - POSITION: Manage Trust assets - DUTIES: Manage Trust assets - START DATE:5/18/2018 - HOURS DEVOTED TO BUSINESS: n/a

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®
None

Experience

Past

July 9, 2021 - November 2, 2022

STONEGATE INVESTMENT GROUP, LLC

RIA
CRD#: 314889
BIRMINGHAM, AL
Past

September 14, 2007 - July 20, 2021

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BIRMINGHAM, AL
Past

September 14, 2007 - July 20, 2021

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
BIRMINGHAM, AL
Past

December 8, 1998 - September 25, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BIRMINGHAM, AL
Past

October 2, 1998 - September 25, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
BIRMINGHAM, AL
Past

December 21, 1994 - October 16, 1998

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA

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".
SI
STONEGATE INVESTMENT GROUP, LLC
ISLAND WAY INVESTMENT GROUP, LLC | STONEGATE INVESTMENT GROUP, LLC

CRD#: 314889 / SEC#: 801-121509

RIA
Registered Investment Advisory firm - (6/15/2021 Approved)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/4/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/26/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 2/25/1999
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1994
General Securities Representative Examination

Current Firm

SI
STONEGATE INVESTMENT GROUP, LLC
ISLAND WAY INVESTMENT GROUP, LLC | STONEGATE INVESTMENT GROUP, LLC

CRD#: 314889 / SEC#: 801-121509

RIA
Registered Investment Advisory firm - (6/15/2021 Approved)
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Contact information

Main Address
2005 Stonegate Trail Suite # 101, Birmingham, AL 35242
Mailing Address
Phone number
(205) 963-0840
Established
Firm type
Fiscal year end
# of Employees
14

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

STONEGATE DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (2/24/2025)

Regulatory assets under management

Total Number of Accounts2,768
AUM (Assets Under Management)$ 5,670,936,072

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/02/2025
Cover Page
Report
10/10/2024
Cover Page
Report
12/12/2023
Cover Page
Report

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.

Company Information

STONEGATE INVESTMENT GROUP, LLC

CRD#: 314889

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