Mark R. Shreve

BROGAN FINANCIAL

Knoxville, TN 37922

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CRD#: 3277745

Professional summary

Mark Richard Shreve is a registered financial advisor currently at BROGAN FINANCIAL located in Knoxville, Tennessee.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Mark has worked at 2 firms and has passed the Series 66, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Shreve'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

September 2, 2021 - Present

BROGAN FINANCIAL

Office #1: 2160 Lakeside Centre Way Suite 102, Knoxville, TN 37922

RIA

CRD#: 133623

Knoxville, TN

Past

December 1, 2011 - April 2, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

KNOXVILLE, TN

Past

September 29, 2011 - April 2, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

KNOXVILLE, TN

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".

BROGAN FINANCIAL

BROGAN FINANCIAL | PLANNING CONCEPTS, INC. | BROGAN FINANCIAL, INC.

CRD#: 133623 / SEC#: 801-69181

RIA

Registered Investment Advisory firm - (5/13/2008 Approved)

Tennessee

Registered Investment Advisory firm - (5/31/2008 Terminated)

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).

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

Tennessee
(9/2/2021)

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 66

Date: 11/30/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2011

General Securities Representative Examination

Current Firm

BROGAN FINANCIAL

BROGAN FINANCIAL | PLANNING CONCEPTS, INC. | BROGAN FINANCIAL, INC.

CRD#: 133623 / SEC#: 801-69181

RIA

Registered Investment Advisory firm - (5/13/2008 Approved)

Tennessee

Registered Investment Advisory firm - (5/31/2008 Terminated)

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Contact information

Main Address

2160 Lakeside Centre Way Suite 102, Knoxville, TN 37922

Mailing Address

Phone number

(865) 862-6800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROGAN FINANCIAL ADV PART 2A (5/1/2024)

Regulatory assets under management

Total Number of Accounts	1,883
AUM (Assets Under Management)	$ 444,206,370

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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Mark R. Shreve

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Shreve's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROGAN FINANCIAL

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BROGAN FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2011

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2011

Current Firm

BROGAN FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROGAN FINANCIAL

TRUST BUT VERIFY

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