ME
Mark D. Erwin
KESTRA ADVISORY SERVICES
Fallbrook, CA
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CRD#: 3039639
ME
Professional summary
Mark Douglas Erwin is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fallbrook, California and KESTRA INVESTMENT SERVICES, LLC located in Fallbrook, California.
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 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/07/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: MONARCH RETIREMENT GROUP POSITION: Registered Rep NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 135 START DATE: 08/07/2025 ADDRESS: 1615 Sycamore Street, NAPA CA 94559-4560, United States DESCRIPTION: Registered Rep activities Name: ERWIN FINANCIAL CORP POSITION: President NATURE: shell company for tax purposes INVESTMENT RELATED: No #OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2006 ADDRESS: 1615 Sycamore Street, NAPA CA 94559-4560, United States DESCRIPTION: Personal shell company for my income Name: ADVOCACY AND EDUCATION ON TTR AMYLODOSIS FOR ASTRAZENECA POSITION: Patient NATURE: Advocacy and education INVESTMENT RELATED: No # OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/04/2025 ADDRESS: 250 Hudson Street, New York NY 10013, United States DESCRIPTION: Public speaking
CRS (Client Relationship Summary) - RIA
Click below to view Mark Douglas Erwin'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®
NoneExperience
Current
August 8, 2025 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Fallbrook, CA
Current
August 7, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 724 Rainbow Crest Rd, Fallbrook, CA 92028BD
CRD#: 42046
Fallbrook, CA
Past
January 5, 2006 - August 8, 2025
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Napa, CA
Past
January 5, 2006 - August 8, 2025
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Napa, CA
Past
January 28, 2003 - December 31, 2005
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
January 28, 2003 - December 31, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
June 2, 1998 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
June 2, 1998 - January 29, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
Arizona(8/15/2025)
RR
California(8/7/2025)
IAR
California(8/8/2025)
RR
Hawaii(11/3/2025)
RR
Kentucky(8/18/2025)
RR
Texas(8/22/2025)
IAR
Texas(8/22/2025)
RR
Wisconsin(11/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
