MS
Mark H. Schlipman
CWM
Lake Ozark, MO 65049
Some features on this profile are disabled
CRD#: 2948538
MS
Professional summary
Mark Harvey Schlipman, AIF® is a registered financial advisor currently at CWM, LLC located in Lake Ozark, Missouri and CETERA WEALTH SERVICES, LLC located in Quincy, Illinois.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.CWM, LLC DBA CARSON WEALTH MANAGEMENT GROUP, CARSON GROUP PARTNERS AND CARSON GROUP. INV REL: YES, ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM POSITION: IAR, START DATE: 11/2016, APX HOURS PER WEEK: 40, APX HOURS DURING TRADING: 32.5, DUTIES: INVESTMENT ADVISOR PROVIDING ADVISORY SERVICES TO ITS CLIENTS, INCLUDING DISCRETIONARY INVESTMENT MANAGEMENT AND FINANCIAL GUIDANCE. 2.FIXED INSURANCE WITH VARIOUS COMPANIES INV REL: YES ADDRESS: SAME NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2016 APX NUMBER OF HOURS PER WEEK: 4 DURING TRADING HOURS: 4 POSITION INSURANCE AGENT DUTIES: SELLS LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE 3.SCHLIPMAN WEALTH ADVISORS INV REL: YES ADDRESS: SAME NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 2013 POSITION: FINANCIAL ADVISOR/OWNER/CEO APX NUMBER OF HOURS PER WEEK: 40 DURING TRADING HOURS: 40 DUTIES: FINANCIAL ADVISOR 4. MARK SCHLIPMAN INC. INV REL: NO ADDRESS: SAME NATURE OF BUSINESS: BUSINESS ENTITY START DATE: 9/2005 POSITION: OWNER APX NUMBER OF HOURS PER WEEK: MINIMAL DURING TRADING HOURS: MINIMAL DUTIES: BUSINESS ENTITY FOR TAX AND ACCOUNTING PURPOSES ONLY 5.T2 PROPERTY MANAGEMENT CORP. INV REL: NO ADDRESS: SAME NATURE OF BUSINESS: BUSINESS ENTITY TO HOLD OUR OFFICE BUILDINGS START DATE: 1/2008 POSITION: OWNER APX NUMBER OF HOURS PER WEEK: MINIMAL DURING TRADING HOURS: MINIMAL DUTIES: BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY 6.MHS QUINCY INC INV REL: NO ADDRESS: SAME NATURE OF BUSINESS: BUSINESS ENTITY START DATE: 1/2005 POSITION: OWNER APX NUMBER OF HOURS PER WEEK: 2 DURING TRADING HOURS: 2 DUTIES: BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY 7.JOHN WOOD COMMUNITY COLLEGE INV REL: YES ADDRESS: 1301 SOUTH 48TH STREET, QUINCY, IL 62305 NATURE OF BUSINESS: TEACHING START DATE: 1/2013 POSITION: INSTRUCTOR APX NUMBER OF HOURS PER WEEK: MINIMAL DURING TRADING HOURS: MINIMAL DUTIES: INSTRUCT AN INFORMATIVE, GENERAL CLASS ON INVESTMENTS, SOCIAL SECURITY, AND IRAS AT JOHN WOOD COMMUNITY COLLEGE TO RETIREES 8. SCHLIPMAN CONSTRUCTION, INC. INV REL: NO ADDRESS: 2529 LARCH RD, QUINCY, IL 62301 NATURE OF BUSINESS: CONSTRUCTION START DATE: 4/2006 POSITION: OFFICER IN FATHER'S CONSTRUCTION COMPANY BY TITLE ONLY APX NUMBER OF HOURS PER WEEK: MINIMAL DURING TRADING HOURS: MINIMAL DUTIES: OFFICER IN FATHER'S CONSTRUCTION COMPANY BY TITLE ONLY 9.CHURCH OF ST. PETER INV REL: NO ADDRESS: 2600 MAINE STREET, QUINCY, IL 62301 NATURE OF BUSINESS: BOARD MEMBER START DATE: 2014 POSITION: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 DURING TRADING HOURS: 1 DUTIES: HELP ADVISE THE PASTOR ON FINANCIAL MATTERS. NO CONTROL OVER CHURCH FINANCES. WE MEET AS A GROUP, LISTENING TO PASTOR AND PROVIDING SUGGESTIONS AND RECOMMENDATIONS ON ALL ISSUES REGARDING PARISH LIFE 10.CHILDREN'S ADVOCACY NETWORKS INV REL: NO ADDRESS: 531 HAMPSHIRE, SECOND FLOOR, QUINCY, IL 62301 NATURE OF BUSINESS: BOARD MEMBER START DATE: 2015 POSITION: BOARD MEMBER APX # OF HOURS PER WEEK: MINIMAL DURING TRADING HOURS: MINIMAL NO FINANCIAL DISCRETION OVER ANYTHING. VOTING BOARD MEMBER ON CHILDREN'S ISSUES WITH THE COURT 11.1. SMITH POOLS, INC INVS REL NO ADDRESS: 2531 LARCH ROAD, QUINCY, IL 62301 NATURE OF BUSINESS: SWIMMING POOLS START DATE: 2/2018 POSITIION: MARKETING HOURS PER WEEK: VARIES DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: ASSIST WITH MARKETING AND RESEARCH FO 12. NAME OF OTHER BUSINESS: SIMPLE ROAD LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BOK PUBLISHING; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: CO-AUTHOR/OWNER; APX # OF HOURS PER WEEK: 5; APX # OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: WRITE AND PUBLISH SELF HELP BOOK; 13. THE EISENHOWER FOUNDATION; INV REL: NO; 200 S E 4TH ST AILENE, KS 67410; NON PROFIT; 10/2025; BOARD MEMBER; APX # OF HRS PER WK: .01; PROMOTE THE LEGACY OF PRESIDENT DWIGHT EISENHOWER:
CRS (Client Relationship Summary) - RIA
Click below to view Mark Harvey Schlipman's 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®
Experience
Current
October 29, 2013 - Present
CWM, LLC
Office #1: 2265 Bagnell Dam Blvd. Suite 200, Lake Ozark, MO 65049Office #2: 1890 Maine Street, Quincy, IL 62301Office #3: 4400 West 109th Street Suite 250, Overland Park, KS 66211Office #4: 4400 West 109th St. Suite 250, Overland Park, KS 66211RIA
CRD#: 155344
Lake Ozark, MO
Current
January 17, 2017 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1890 Maine St, Quincy, IL 62301Office #2: 2265 Bagnell Dam Blvd Ste 200, Lake Ozark, MO 65049Office #3: 4400 West 109th Street Ste 250, Overland Park, KS 66211BD
CRD#: 13572
Quincy, IL
Past
December 2, 2004 - April 28, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
QUINCY, IL
Past
April 2, 2004 - January 19, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
QUINCY, IL
Past
January 1, 1998 - April 5, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 1, 1998 - April 5, 2004
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
CL
CWM, LLC
22 WEALTH MANAGEMENT | RFC FINANCIAL PLANNERS | RETIREMENT PLANNING AND WEALTH MANAGEMENT | RETIREMENT PLANNING & WEALTH MANAGEMENT | RETIREMENT EXTENDER | RBV WEALTH MANAGEMENT | RANDALL & POBAR, LLC | PRICE FINANCIAL GROUP | PREMIER WEALTH MANAGEMENT GROUP | PLATINUM WEALTH MANAGEMENT | PINNACLE WEALTH | PINNACLE FINANCIAL GROUP | PILLAR FINANCIAL ADVISORS | PETERMAN FINANCIAL GROUP, INC. | PETERMAN FINANCIAL GROUP | PESTA & PESTA WEALTH MANAGEMENT | PARSONS WEALTH MANAGEMENT | PARISH WEALTH PARTNERS | PANGEA WEALTH | OVATION WEALTH ADVISORS | OSL, INC | OLIVIER GROUP INNOVATIVE WEALTH PLANNERS | OGDEN WEALTH | OAKESON STEINER WEALTH & RETIREMENT | NWCM | NICHOLS WEALTH PARTNERS | NETWORTH FINANCIAL, INC | NESSO WEALTH | NAVION FINANCIAL ADVISORS | NAVIGUIDE WEALTH PARTNERS, INC. | NAUTICA WEALTH ADVISORS | MORGAN WEALTH | MITLIN FINANCIAL | MELERINE WEALTH MANAGEMENT | MEIKLE FINANCIAL GROUP | MEATH WEALTH ADVISORS | MAMMOTH FINANCIAL | MAIN STREET FINANCIAL LIFE ADVISORS, LLC | MAG WEALTH MANAGEMENT | LUND WEALTH MANAGEMENT | LOTUS BRIDGE WEALTH MANAGEMENT | LIONS GATE WEALTH MANAGEMENT, LLC | LIONS GATE WEALTH | LATITUDE WEALTH MANAGEMENT | LATITUDE WEALTH | LANE BROTHERS INVESTMENT COUNSEL | LANE BROTHERS & COMPANY, INC | LANE BROTHERS & CO. | KUHLMANN FINANCIAL | KEYSTONE FINANCIAL | KANAI WEALTH MANAGEMENT GROUP | KABAREC FINANCIAL ADVISORS | JON BAKER FINANCIAL GROUP | JACOB WILLIAM ADVISORY | INTEGRATED WEALTH MANAGEMENT | HORIZON FINANCIAL GROUP | HOLLAR WEALTH | HOFFMEYER WEALTH MANAGEMENT | HIRST FINANCIAL INDEPENDENCE PLANNING | HERITAGE FINANCIAL | HARRISON WALLACE FINANCIAL GROUP, LTD | HARRISON WALLACE | HAL-OTEY FINANCIAL | HAL OTEY FINANCIAL WEALTH MANAGEMENT & RETIREMENT PLANNING | GWA | GRIMM-SCHLIPMAN FINANCIAL | GRAVES FINANCIAL WEALTH MANAGEMENT | GRANITE WEALTH STRATEGIES | GOLD FAMILY WEALTH | GERTSEMA WEALTH ADVISORS | GERTSEMA WEALTH | GEIST FAMILY WEALTH | GAAM WEALTH ADVISORS, INC. | FORTIS FINANCIAL PARTNERS | FLP FINANCIAL | FLASHPOINT FINANCIAL SERVICES | FINANCIAL MANAGEMENT INC. | FINANCIAL INDEPENDENCE PLANNING, INC. | FINANCIAL IMPACT ADVISORS | FFR WEALTH TEAM | FCM FINANCIAL PLANNING | FCM FINANCIAL | FAMILY WEALTH MANAGEMENT GROUP | EQUITY PLANNING INC | EQUANIMITY WEALTH MANAGEMENT | ENTIRETY | DYNAMIC LEGACY PLANNING | DSF WEALTH MGMT | DSF WEALTH MANAGEMENT, LLC | DRIVEN WEALTH STRATEGIES | DORHOUT RETIREMENT SERVICES | DILLON WEALTH MANAGEMENT GROUP | DIAMOND WEALTH MANAGEMENT | DIAMOND WEALTH ADVISORS | DENVER CAPITAL GROUP | CWMG-WEST DES MOINES | CWMG - WALTHAM | CWMG - COLORADO SPRINGS | CWMG | CWM, LLC | CULTIVATE WEALTH, LLC | CRESCENT FINANCIAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT GROUP | CORNERSTONE WEALTH ADVISORS | CONCIERGE WEALTH MANAGEMENT GROUP | COLLECTIVE ADVISORS | CODY FINANCIAL ADVISORS | CLEAR RESOURCE GROUP | CLARITY WEALTH | CHESSMAN WEALTH STRATEGIES | CARSON WEALTH-TRUE NORTH FINANCIAL | CARSON WEALTH-THE SHOBE FINANCIAL GROUP | CARSON WEALTH-FISHER FINANCIAL ADVISORS | CARSON WEALTH MANAGEMENT GROUP | CARSON WEALTH | CARSON PARTNERS | CARSON INSTITUTIONAL ALLIANCE (CIA) | CARSON INSTITUTIONAL | CARSON GROUP PARTNERS | CARSON GROUP HOLDINGS | CARSON GROUP | CARSON | CADWELL WEALTH | BUTTERWORTH FINANCIAL GROUP | BUCKLEY INVESTMENT GROUP, LLC | BUCKLEY | BRIDGES PRIVATE WEALTH | BOSTON RETIREMENT GROUP | BMY WEALTH MANAGEMENT GROUP | BMY WEALTH | BLUEPRINT WEALTH MANAGEMENT | BLOOM WEALTH ADVISORS | BENDER FINANCIAL | BARRINGTON WEALTH MANAGEMENT | BAIN WEALTH MANAGEMENT | AVERY WEALTH, INC. | ASSET ADVISORS, LLC | ASPIRE FINANCIAL PLANNING | ART OF WEALTH MANAGEMENT | ARS INVESTMENT ADVISORS, INC. | ARMSTRONG PURSELLEY WEATH MANAGEMENT GROUP | ARMSTRONG PURSELLEY WEALTH MANAGEMENT | APTUS WEALTH PLANNING | APTUS WEALTH MANAGEMENT GROUP | APPLIED FINANCIAL PLANNING | APPLIED FINANCIAL | ALLGOOD FINANCIAL ADVISORY | ALEXANDER LEGACY PRIVATE WEALTH | ALBRITTON FINANCIAL SERVICES | ADVANCED RETIREMENT STRATEGIES | ABUNDANT LIFE FINANCIAL | ABBS RETIREMENT PLANNING ADVISORS | ABARIS FINANCIAL GROUP, LLC | ABARIS FINANCIAL GROUP | AAM FINANCIAL PLANNING AND INVESTMENTS | 360° WEALTH ADVISOR...
CRD#: 155344 / SEC#: 801-72037
RIA
Registered Investment Advisory firm - (1/3/2011 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/8/2017)
RR
Arizona(5/5/2017)
RR
Colorado(1/17/2017)
RR
Florida(5/14/2018)
IAR
Illinois(10/29/2013)
RR
Illinois(1/17/2017)
RR
Indiana(1/17/2017)
RR
Iowa(1/17/2017)
RR
Kansas(8/11/2021)
IAR
Kansas(3/24/2023)
RR
Maine(6/1/2018)
RR
Michigan(4/15/2019)
RR
Missouri(1/17/2017)
RR
New Mexico(5/10/2017)
RR
North Carolina(1/23/2017)
RR
Ohio(1/17/2017)
RR
Oklahoma(1/17/2017)
IAR
Texas(1/3/2017)
RR
Utah(5/16/2023)
RR
Wisconsin(7/24/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CL
CWM, LLC
22 WEALTH MANAGEMENT | RFC FINANCIAL PLANNERS | RETIREMENT PLANNING AND WEALTH MANAGEMENT | RETIREMENT PLANNING & WEALTH MANAGEMENT | RETIREMENT EXTENDER | RBV WEALTH MANAGEMENT | RANDALL & POBAR, LLC | PRICE FINANCIAL GROUP | PREMIER WEALTH MANAGEMENT GROUP | PLATINUM WEALTH MANAGEMENT | PINNACLE WEALTH | PINNACLE FINANCIAL GROUP | PILLAR FINANCIAL ADVISORS | PETERMAN FINANCIAL GROUP, INC. | PETERMAN FINANCIAL GROUP | PESTA & PESTA WEALTH MANAGEMENT | PARSONS WEALTH MANAGEMENT | PARISH WEALTH PARTNERS | PANGEA WEALTH | OVATION WEALTH ADVISORS | OSL, INC | OLIVIER GROUP INNOVATIVE WEALTH PLANNERS | OGDEN WEALTH | OAKESON STEINER WEALTH & RETIREMENT | NWCM | NICHOLS WEALTH PARTNERS | NETWORTH FINANCIAL, INC | NESSO WEALTH | NAVION FINANCIAL ADVISORS | NAVIGUIDE WEALTH PARTNERS, INC. | NAUTICA WEALTH ADVISORS | MORGAN WEALTH | MITLIN FINANCIAL | MELERINE WEALTH MANAGEMENT | MEIKLE FINANCIAL GROUP | MEATH WEALTH ADVISORS | MAMMOTH FINANCIAL | MAIN STREET FINANCIAL LIFE ADVISORS, LLC | MAG WEALTH MANAGEMENT | LUND WEALTH MANAGEMENT | LOTUS BRIDGE WEALTH MANAGEMENT | LIONS GATE WEALTH MANAGEMENT, LLC | LIONS GATE WEALTH | LATITUDE WEALTH MANAGEMENT | LATITUDE WEALTH | LANE BROTHERS INVESTMENT COUNSEL | LANE BROTHERS & COMPANY, INC | LANE BROTHERS & CO. | KUHLMANN FINANCIAL | KEYSTONE FINANCIAL | KANAI WEALTH MANAGEMENT GROUP | KABAREC FINANCIAL ADVISORS | JON BAKER FINANCIAL GROUP | JACOB WILLIAM ADVISORY | INTEGRATED WEALTH MANAGEMENT | HORIZON FINANCIAL GROUP | HOLLAR WEALTH | HOFFMEYER WEALTH MANAGEMENT | HIRST FINANCIAL INDEPENDENCE PLANNING | HERITAGE FINANCIAL | HARRISON WALLACE FINANCIAL GROUP, LTD | HARRISON WALLACE | HAL-OTEY FINANCIAL | HAL OTEY FINANCIAL WEALTH MANAGEMENT & RETIREMENT PLANNING | GWA | GRIMM-SCHLIPMAN FINANCIAL | GRAVES FINANCIAL WEALTH MANAGEMENT | GRANITE WEALTH STRATEGIES | GOLD FAMILY WEALTH | GERTSEMA WEALTH ADVISORS | GERTSEMA WEALTH | GEIST FAMILY WEALTH | GAAM WEALTH ADVISORS, INC. | FORTIS FINANCIAL PARTNERS | FLP FINANCIAL | FLASHPOINT FINANCIAL SERVICES | FINANCIAL MANAGEMENT INC. | FINANCIAL INDEPENDENCE PLANNING, INC. | FINANCIAL IMPACT ADVISORS | FFR WEALTH TEAM | FCM FINANCIAL PLANNING | FCM FINANCIAL | FAMILY WEALTH MANAGEMENT GROUP | EQUITY PLANNING INC | EQUANIMITY WEALTH MANAGEMENT | ENTIRETY | DYNAMIC LEGACY PLANNING | DSF WEALTH MGMT | DSF WEALTH MANAGEMENT, LLC | DRIVEN WEALTH STRATEGIES | DORHOUT RETIREMENT SERVICES | DILLON WEALTH MANAGEMENT GROUP | DIAMOND WEALTH MANAGEMENT | DIAMOND WEALTH ADVISORS | DENVER CAPITAL GROUP | CWMG-WEST DES MOINES | CWMG - WALTHAM | CWMG - COLORADO SPRINGS | CWMG | CWM, LLC | CULTIVATE WEALTH, LLC | CRESCENT FINANCIAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT GROUP | CORNERSTONE WEALTH ADVISORS | CONCIERGE WEALTH MANAGEMENT GROUP | COLLECTIVE ADVISORS | CODY FINANCIAL ADVISORS | CLEAR RESOURCE GROUP | CLARITY WEALTH | CHESSMAN WEALTH STRATEGIES | CARSON WEALTH-TRUE NORTH FINANCIAL | CARSON WEALTH-THE SHOBE FINANCIAL GROUP | CARSON WEALTH-FISHER FINANCIAL ADVISORS | CARSON WEALTH MANAGEMENT GROUP | CARSON WEALTH | CARSON PARTNERS | CARSON INSTITUTIONAL ALLIANCE (CIA) | CARSON INSTITUTIONAL | CARSON GROUP PARTNERS | CARSON GROUP HOLDINGS | CARSON GROUP | CARSON | CADWELL WEALTH | BUTTERWORTH FINANCIAL GROUP | BUCKLEY INVESTMENT GROUP, LLC | BUCKLEY | BRIDGES PRIVATE WEALTH | BOSTON RETIREMENT GROUP | BMY WEALTH MANAGEMENT GROUP | BMY WEALTH | BLUEPRINT WEALTH MANAGEMENT | BLOOM WEALTH ADVISORS | BENDER FINANCIAL | BARRINGTON WEALTH MANAGEMENT | BAIN WEALTH MANAGEMENT | AVERY WEALTH, INC. | ASSET ADVISORS, LLC | ASPIRE FINANCIAL PLANNING | ART OF WEALTH MANAGEMENT | ARS INVESTMENT ADVISORS, INC. | ARMSTRONG PURSELLEY WEATH MANAGEMENT GROUP | ARMSTRONG PURSELLEY WEALTH MANAGEMENT | APTUS WEALTH PLANNING | APTUS WEALTH MANAGEMENT GROUP | APPLIED FINANCIAL PLANNING | APPLIED FINANCIAL | ALLGOOD FINANCIAL ADVISORY | ALEXANDER LEGACY PRIVATE WEALTH | ALBRITTON FINANCIAL SERVICES | ADVANCED RETIREMENT STRATEGIES | ABUNDANT LIFE FINANCIAL | ABBS RETIREMENT PLANNING ADVISORS | ABARIS FINANCIAL GROUP, LLC | ABARIS FINANCIAL GROUP | AAM FINANCIAL PLANNING AND INVESTMENTS | 360° WEALTH ADVISOR...
CRD#: 155344 / SEC#: 801-72037
RIA
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Contact information
Main Address
14600 Branch St., Omaha, NE 68154
Mailing Address
Phone number
(402) 330-0808
Established
Firm type
Fiscal year end
# of Employees
1,314
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,944 |
| AUM (Assets Under Management) | $ 33,775,526,748 |
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.
