Mark L. Springer

REGENT WEALTH MANAGEMENT

TULSA, OK 74133

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CRD#: 3168431

Professional summary

Mark Leonard Springer, who also goes by Mark L Springer, is a registered financial advisor currently at REGENT WEALTH MANAGEMENT, INC. located in Tulsa, Oklahoma.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Mark has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark L Springer

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.

M. SPRINGER & COMPANY, PC NOT INVESTMENT RELATED 5387 S. SHERIDAN; TULSA, OK 74145 CPA FIRM OWNER START DATE - 07/01/2004 70% DEVOTED TO CPA RELATED WORK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Leonard Springer'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®

None

Experience

Current

August 3, 2009 - Present

REGENT WEALTH MANAGEMENT, INC.

Office #1: 9242 S. Sheridan Rd., Suite D, Tulsa, OK 74133

RIA

CRD#: 150197

TULSA, OK

Past

November 19, 2009 - November 24, 2020

THE LEGACY FINANCIAL GROUP, INC.

RIA

CRD#: 135059

TULSA, OK

Past

May 25, 2005 - November 16, 2009

THE LEGACY FINANCIAL GROUP, INC.

RIA

CRD#: 135059

TULSA, OK

Past

January 1, 2000 - December 31, 2005

ZAXIS, LLC

RIA

CRD#: 118065

TULSA, OK

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.

Highlighted states indicate IAR registrations

IAR

Arkansas
(7/19/2019)

IAR

Oklahoma
(8/3/2009)

IAR

Texas
(8/3/2009)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/25/1998

Uniform Investment Adviser Law Examination

Current Firm

REGENT WEALTH MANAGEMENT, INC.

CRD#: 150197 / SEC#: 801-70180

RIA

Registered Investment Advisory firm - (9/9/2019 Terminated)

Arkansas

Registered Investment Advisory firm - (7/26/2019 Approved)

Louisiana

Registered Investment Advisory firm - (1/28/2025 Approved)

Oklahoma

Registered Investment Advisory firm - (7/22/2019 Approved)

Texas

Registered Investment Advisory firm - (9/6/2019 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

9242 S. Sheridan Rd., Suite D, Tulsa, OK 74133

Mailing Address

Phone number

(918) 622-1466

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	93
AUM (Assets Under Management)	$ 69,474,949

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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Firm Stability Insights

Mark L. Springer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Leonard Springer's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGENT WEALTH MANAGEMENT, INC.

THE LEGACY FINANCIAL GROUP, INC.

THE LEGACY FINANCIAL GROUP, INC.

ZAXIS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/1998

Current Firm

REGENT WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

REGENT WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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