Mark L. Baggerly
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 Lee Baggerly, who also goes by Mark L Baggerly, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2012 - August 8, 2016
WFG ADVISORS, LP
April 5, 2010 - August 8, 2016
WFG INVESTMENTS, INC.
June 28, 2005 - December 31, 2011
ROCKBRIDGE ASSET MANAGEMENT, LLC
March 29, 2005 - June 9, 2005
GUNNALLEN FINANCIAL, INC
March 21, 2005 - March 29, 2010
GUNNALLEN FINANCIAL, INC
June 20, 2002 - March 24, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 15, 2002 - March 24, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 16, 2001 - June 20, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
March 16, 2001 - June 15, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
December 15, 1997 - March 22, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
WFG ADVISORS, LP
CRD#: 125073 / SEC#: 801-61945
Contact information
Documents
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.
