MC
Mark A. Calice
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CRD#: 38441
MC
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Allen Calice was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1972. Mark had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
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) MEMBER OF TROY BUSINESS MENS CLUB(INVESTMENT CLUB) located at 4089 chatfield lane, troy mi 48098. I have been associated with this activity 1984 and it is investment related. - 3 HOURS PER MONTH DEVOTED TO BUSINESS
(2) 09/2006 CITY OF TROY RETIREMENT BOARD located at 500 W. Big Beaver Road, Troy MI 48098 - BD MEMBER; 1.5 HRS PER MTH, .5 HRS PER MTH DURING BSNS HRS This is not investment related and I am not compensated.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
September 6, 2018 - December 31, 2023
L.M. KOHN & COMPANY
BD
CRD#: 27913
Troy, MI
Past
August 29, 2018 - December 31, 2023
L.M. KOHN & COMPANY
RIA
CRD#: 27913
Troy, MI
Past
March 9, 2017 - August 21, 2018
L.M. KOHN & COMPANY
RIA
CRD#: 27913
TROY, MI
Past
March 9, 2017 - August 21, 2018
L.M. KOHN & COMPANY
BD
CRD#: 27913
TROY, MI
Past
September 24, 2010 - February 3, 2017
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
BIRMINGHAM, MI
Past
August 19, 2003 - February 3, 2017
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
BIRMINGHAM, MI
Past
November 7, 1997 - September 4, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
December 1, 1972 - November 17, 1997
FIRST OF MICHIGAN CORPORATION
BD
CRD#: 311
DETROIT, MI
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".
LK
L.M. KOHN & COMPANY
A. TURNER FINANCIAL | VISION FINANCIAL PARTNERS | TRUE HARBOUR WEALTH MANAGEMENT | THE TATLAN GROUP | TANKE FINANCIAL GROUP | ROBERT BRYAN FITZPATRICK PC | PRIVATE WEALTH & RETIREMENT SERVICES, LLC | PREFERRED PENSION SOLUTIONS | PLANNING WORKS, LLC | PILOT WEALTH MANAGEMENT | PARADIGM BENEFITS, LLC | NORRIS & COMPANY WEALTH MANAGEMENT, LLC | MILLENNIUM FINANCIAL | MAYHEW WEALTH MANAGEMENT | M3 WEALTH MANAGEMENT/KING FINANCIAL INC./PINZONE FINANCIAL SERVICES/HEALY FINANCIAL SERVICES | LOVE & ASSOCIATES | LOOMIS WEALTH MANAGEMENT, LLC. | LIGHTHOUSE AGENCY INC. | L.M. KOHN NORTH | L.M. KOHN & COMPANY | KOHN WEALTH MANAGEMENT ADVISORS, LLC. | KOHN FINANCIAL CORPORATION | JMK WEALTH ADVISORS | JLA CAPITAL | GROUP PLANS INSURANCE AGENCY INC - A DIVISION OF SHEAKLEY | GREEN & HALLIBURTON, INC. | GELMAN PENSION CONSULTING/CORNERSTONE PENSION CONSULTING | FINANCIAL DESIGNS, LLC | CYR FINANCIAL SERVICES / SHAREFAX FINANCIAL SERVICES | CONWAY FINANCIAL GROUP | CITIZENS FINANCIAL SERVICES | CGI WEALTH MANAGEMENT | CARPENTER WEALTH MANAGEMENT | BUTLER BENEFIT BROKERS INC. | BAKER & COMPANY | ART ROSSER FINANCIAL SERVICES GROUP | ALDYN CAPITAL, LLC
CRD#: 27913 / SEC#: 801-38116, 8-43303
RIA
Registered Investment Advisory firm - SEC (1/18/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/19/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 11/23/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 7/14/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 11/16/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 8
Date: 3/31/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LK
L.M. KOHN & COMPANY
A. TURNER FINANCIAL | VISION FINANCIAL PARTNERS | TRUE HARBOUR WEALTH MANAGEMENT | THE TATLAN GROUP | TANKE FINANCIAL GROUP | ROBERT BRYAN FITZPATRICK PC | PRIVATE WEALTH & RETIREMENT SERVICES, LLC | PREFERRED PENSION SOLUTIONS | PLANNING WORKS, LLC | PILOT WEALTH MANAGEMENT | PARADIGM BENEFITS, LLC | NORRIS & COMPANY WEALTH MANAGEMENT, LLC | MILLENNIUM FINANCIAL | MAYHEW WEALTH MANAGEMENT | M3 WEALTH MANAGEMENT/KING FINANCIAL INC./PINZONE FINANCIAL SERVICES/HEALY FINANCIAL SERVICES | LOVE & ASSOCIATES | LOOMIS WEALTH MANAGEMENT, LLC. | LIGHTHOUSE AGENCY INC. | L.M. KOHN NORTH | L.M. KOHN & COMPANY | KOHN WEALTH MANAGEMENT ADVISORS, LLC. | KOHN FINANCIAL CORPORATION | JMK WEALTH ADVISORS | JLA CAPITAL | GROUP PLANS INSURANCE AGENCY INC - A DIVISION OF SHEAKLEY | GREEN & HALLIBURTON, INC. | GELMAN PENSION CONSULTING/CORNERSTONE PENSION CONSULTING | FINANCIAL DESIGNS, LLC | CYR FINANCIAL SERVICES / SHAREFAX FINANCIAL SERVICES | CONWAY FINANCIAL GROUP | CITIZENS FINANCIAL SERVICES | CGI WEALTH MANAGEMENT | CARPENTER WEALTH MANAGEMENT | BUTLER BENEFIT BROKERS INC. | BAKER & COMPANY | ART ROSSER FINANCIAL SERVICES GROUP | ALDYN CAPITAL, LLC
CRD#: 27913 / SEC#: 801-38116, 8-43303
RIA
Registered Investment Advisory firm - SEC (1/18/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
10151 Carver Rd. Suite 100, Cincinnati, OH 45242
Mailing Address
10151 Carver Rd. Suite 100, Cincinnati, OH 45242
Phone number
(513) 792-0301
Established
Ohio since 11/27/1990
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
85
SEC notice filing (5 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory Event | 1 |
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.
