Mark A. Foreman

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES

BLOOMINGTON, MN 55437

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CRD#: 3076573

Professional summary

Mark Alan Foreman is a registered financial advisor currently at THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC located in Bloomington, Minnesota and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Bloomington, Minnesota.

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 7 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.

1.) FOREMAN AND AIRHART - MANAGER/OWNER - CPA FIRM. TAX PREPARATION, PAYROLL PROCESSING, BOOKKEEPING - BLOOMINGTON, MN - SINCE 01/1990 - NOT INVESTMENT RELATED 2.) BLOOMINGTON PROFESSIONAL BLD - OWNER/MANAGER - COMMERCIAL RENTAL - BLOOMINGTON, MN - SINCE 01/1994 - INVESTMENT RELATED 3.) CAPITAL ADVISORY GROUP ADVISORY SERVICES - INVESTMENT ADVISER REPRESENTATIVE - FEE-BASED ADVISORY FOR MANAGED ACCOUNTS, FINANCIAL PLANNING, FEE BASED 401K MANAGED ACCOUNTS - BLOOMINGTON, MN - SINCE 09/2010 - INVESTMENT RELATED 4.) MACHTIG & ASSOCIATES INSURANCE SERVICES - LICENSED AGENT - SALE OF TRADITIONAL FIXED INSURANCE PRODUCTS SUCH AS TERM, WHOLE LIFE, AND UNIVERSAL - BLOOMINGTON, MN - SINCE 09/2010 - INVESTMENT RELATED 5.) FOREMAN FINANCIAL SERVICES - OWNER/MANAGER - S CORPORATION FOR TAX PURPOSES - BLOOMINGTON, MN - SINCE 01/1994 - NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Foreman'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

January 13, 2014 - Present

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

Office #1: 5270 West 84th Street, Suite 310, Bloomington, MN 55437

RIA

CRD#: 140551

BLOOMINGTON, MN

Current

July 7, 2016 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 5270 W 84th St Ste 310, Bloomington, MN 55437

RIA

CRD#: 20804

Bloomington, MN

Past

March 4, 2008 - July 25, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

BLOOMINGTON, MN

Past

February 21, 2008 - July 25, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

BLOOMINGTON, MN

Past

February 16, 2007 - March 3, 2008

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

BLOOMINGTON, MN

Past

February 28, 2002 - February 25, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

March 2, 1999 - March 1, 2002

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

August 12, 1998 - January 5, 1999

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

CRD#: 140551 / SEC#: 801-69464

RIA

Registered Investment Advisory firm - (8/25/2008 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.

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

Arizona
(11/2/2018)

Florida
(7/7/2016)

Louisiana
(7/7/2016)

IAR

Minnesota
(1/13/2014)

Minnesota
(7/7/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/26/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/11/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

CRD#: 140551 / SEC#: 801-69464

RIA

Registered Investment Advisory firm - (8/25/2008 Approved)

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Contact information

Main Address

10000 N 31st Ave Suite D216, Phoenix, AZ 85051

Mailing Address

Phone number

(952) 831-8243

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC BROCHURE (8/6/2025)

Regulatory assets under management

Total Number of Accounts	1,424
AUM (Assets Under Management)	$ 402,826,658

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.

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Advisor Monitoring

Firm Stability Insights

Mark A. Foreman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Foreman's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

GENEOS WEALTH MANAGEMENT, INC.

SUNAMERICA SECURITIES, INC.

CADARET, GRANT & CO., INC.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/2008

Series 63

Date: 8/31/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/18/2002

Series 6

Date: 8/11/1998

FINRA

Current Firm

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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