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MS

Mark A. Shane

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CRD#: 2578978
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 Alan Shane was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

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

June 22, 2011 - July 1, 2021

REILLY FINANCIAL ADVISORS

RIA
CRD#: 110315
LA MESA, CA
Past

April 3, 2009 - February 14, 2011

WADDELL & REED

RIA
CRD#: 866
SCOTTSDALE, AZ
Past

March 31, 2009 - February 14, 2011

WADDELL & REED

BD
CRD#: 866
SCOTTSDALE, AZ
Past

April 4, 2007 - May 30, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BOCA RATON, FL
Past

April 2, 2007 - May 30, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BOCA RATON, FL
Past

March 26, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BOCA RATON, FL
Past

March 23, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
BOCA RATON, FL
Past

December 5, 1997 - March 27, 2007

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
BOCA RATON, FL
Past

November 26, 1997 - March 27, 2007

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
BOCA RATON, FL
Past

February 11, 1997 - October 27, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 13, 1995 - December 19, 1996

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

March 8, 1995 - July 18, 1995

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA

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: 4/19/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/6/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 3/24/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/7/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/1/1998
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

RF
REILLY FINANCIAL ADVISORS
REILLY FINANCIAL ADVISORS | REILLY FINANCIAL ADVISORS LLC

CRD#: 110315 / SEC#: 801-56721

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Contact information

Main Address
7777 Alvarado Road, Suite 116, La Mesa, CA 91942
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A 9-7-2021 (9/9/2021)

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

REILLY FINANCIAL ADVISORS

CRD#: 110315

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