MF
Mark R. Federation
PACKERLAND BROKERAGE SERVICES
Osceola, WI
Some features on this profile are disabled
CRD#: 4059861
MF
Professional summary
Mark Randolph Federation is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Osceola, Wisconsin.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE 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.
NAME: ASSET MARKETING SYSTEMS, LLC; ADDRESS:15050 AVENUE OF SCIENCE, SUITE 100 SAN DIEGO, CA 92128; NATURE: FMO/FIXED INSURANCE SALES; POSITION:INSURANCE & FIA SALES; START DATE:01/2018; HOURS/MONTH:120; TRADING HOURS/MONTH:120; DUTIES:INSURANCE & FIA SALES
PACIFIC LIFE PRODUCER ALLIANCE FIA, FA SALES, JACKSON NATIONAL FIXED, INSURANCE AND FIA SALES.
NON VARIABLE LIFE, HEALTH, DISABILITY INSURANCE SALES, ASSET BASED LTC, LTC SALES.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Randolph Federation's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Randolph Federation'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
December 9, 2020 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
Osceola, WI
Current
December 9, 2020 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
Osceola, WI
Past
January 22, 2018 - December 10, 2020
MADISON AVENUE SECURITIES, LLC
RIA
CRD#: 23224
Osceola, WI
Past
January 19, 2018 - December 10, 2020
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
Osceola, WI
Past
June 26, 2017 - January 23, 2018
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
Osceola, WI
Past
June 22, 2016 - June 15, 2017
HARBOUR INVESTMENTS, INC.
RIA
CRD#: 19258
Osceola, WI
Past
June 13, 2016 - June 15, 2017
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
Osceola, WI
Past
January 19, 2010 - June 13, 2016
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
OSCEOLA, WI
Past
March 20, 2008 - June 13, 2016
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
OSCEOLA, WI
Past
November 12, 1999 - February 8, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
OAKDALE, MN
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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)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.
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
Alaska(12/14/2020)
RR
Minnesota(12/9/2020)
RR
Montana(1/13/2025)
RR
Texas(4/8/2025)
RR
Wisconsin(12/9/2020)
IAR
Wisconsin(12/9/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
