MO
Mark E. Onstott
TRANSAMERICA FINANCIAL ADVISORS | Investment Advisor Representative
Colorado Springs, CO 80918
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CRD#: 3085028
MO
Professional summary
Mark Edward Onstott, who also goes by Mark E Onstott, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Colorado Springs, Colorado.
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 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark E Onstott
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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." TEAM CHOSEN FINANCIAL, LLC; NOT INVESTMENT RELATED; 5353 N. UNION BLVD #202, COLORADO SPRINGS CO 80918; AN LLC ESTABLISHED BY ME TO PUT MY OFFICE LEASE UNDER; MEMBER/OWNER; 12/2014; 4 HRS/MONTH; MANAGING THE LLC, FILING AN ANNUAL REPORT Assurant Health Insurance / 0908-Present / Investment Related: No / Colorado Springs, CO / Agent / Individual Health Insurance / Hrs Work Monthly: 5% / Sec Trading Hrs: 5% / Selling health insurance Anthem Blue Cross / 1208-Present / Investment Related: No / Denver, CO / Agent / Health insurance Sales/ Hrs Work Monthly: 5% / Sec Trading Hrs: 5% / Selling health insurance Colorado Choice Health Plans / 0719-Present / Investment Related: Yes / 700 Main St. #100 Alamosa, Co 81101/ Agent/ Health Insurance / Hrs Work Monthly: 2 / Sec Trading Hrs: 0 / Selling health insurance when needed by a client. TEAM CHOSEN FINANCIAL LLC / INVESTMENT RELATED: NO / 14270 PINE GLEN DR WEST COLORADO SPRINGS, CO 80908 / COMMERCIAL REAL ESTATE, OWNER AND EMPLOYEE/ HOURS PER MONTH: 5 / HOURS DURING SECURITIES TRADING HOURS: 0 / KEEPING UP DOCUMENTATION RELATED TO LLC CHOSEN REDONDO RETREAT, LLC POSITION: Member NATURE: Investment Property INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2023 ADDRESS: 14270 Pine Glen Dr West, Colorado Springs CO 80908, United States DESCRIPTION: This LLC is for an investment property we are purchasing at the beginning of July 2023. We will have a property management company handling the marketing, and the day to day operations of it. Very little time will be spent by me on it.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Edward Onstott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Edward Onstott'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
January 7, 2013 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 5525 N Union Blvd # 200, Colorado Springs, CO 80918RIA
BD
CRD#: 16164
Colorado Springs, CO
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 5525 N Union Blvd # 200, Colorado Springs, CO 80918RIA
BD
CRD#: 16164
Colorado Springs, CO
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
COLORADO SPRINGS, CO
Past
July 17, 1998 - April 12, 2002
WMA SECURITIES, INC.
BD
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
California(1/6/2012)
RR
Colorado(1/6/2012)
IAR
Colorado(1/7/2013)
RR
Florida(11/17/2021)
RR
Georgia(9/21/2021)
RR
Oklahoma(5/28/2021)
RR
Virginia(5/6/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Investment Advisor RepresentativeCRD#: 16164Colorado Springs, CO 80918TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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