Marc V. Mcdowell

WEALTHSPIRE RETIREMENT ADVISORY

Madison, WI 53718

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CRD#: 2747589

Professional summary

Marc Vincent Mcdowell, who also goes by Marc Mcdowell, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Madison, Wisconsin.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Marc has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marc Mcdowell

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.

I am currently employed: 1) as a Staff Member at Bowling Ball Manufacturer a NON Investment related entity; devote 8-12 hours per moth all outside trading hours; compensation is less than 10% with no conflict of interest. 2) as a Treasurer/Stewardship Board and Treasurer/Foundation Committee at DOOR CREEK Church, a Religous Organization - NON Investment Related; devote 8 hours per month for each all outside trading hours; receive no compensation and there is no conflict of interest.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Vincent Mcdowell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 26, 2019 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 10 Terrace Court Suite 103, Madison, WI 53718

RIA

CRD#: 121254

Madison, WI

Past

April 6, 2016 - December 31, 2019

WEALTHSPIRE CAPITAL, LLC

CRD#: 171970

Madison, WI

Past

June 19, 2013 - January 2, 2020

WEALTHSPIRE ADVISORS

RIA

CRD#: 168095

Madison, WI

Past

November 2, 2007 - July 8, 2013

BAKER TILLY INVESTMENT ADVISORS

RIA

CRD#: 111264

MADISON, WI

Past

February 14, 2007 - August 16, 2016

BAKER TILLY CAPITAL, LLC

CRD#: 115333

MADISON, WI

Past

December 11, 1997 - February 20, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MADISON, WI

Past

April 30, 1997 - December 2, 1997

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

July 12, 1996 - May 1, 1997

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, 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".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(6/26/2019)

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

IAR

Series 65

Date: 2/5/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/22/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/22/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/11/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Marc V. Mcdowell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Vincent Mcdowell's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTHSPIRE CAPITAL, LLC

WEALTHSPIRE ADVISORS

BAKER TILLY INVESTMENT ADVISORS

BAKER TILLY CAPITAL, LLC

CITIGROUP GLOBAL MARKETS INC.

SII INVESTMENTS, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 2/5/1998

Series 63

Date: 6/13/1996

SIE

Date: 10/1/2018

Series 31

Date: 7/22/2002

Series 7

Date: 1/22/1998

Series 6

Date: 7/11/1996

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

Contact information

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