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Mark Francis Keating

Mark F. Keating

WILLOW CREEK WEALTH MANAGEMENT
SEBASTOPOL, CA 95472
Some features on this profile are disabled
CRD#: 4246668
Mark Francis Keating

Professional summary

Mark Francis Keating, CFP® is a registered financial advisor currently at WILLOW CREEK WEALTH MANAGEMENT, INC. located in Sebastopol, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Mark has worked at 4 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

Biography

Mark is a CERTIFIED FINANCIAL PLANNER™ which gives him background in taxation, insurance, retirement planning, and estate planning. He has has been in the financial services industry since 2000 working as an investment advisor and as an institutional equity trader. He obtained his bachelor's degree in accounting from Santa Clara University.
top-8-questions

Question & Answer

What are your service offerings?
Estate Planning
Retirement Planning
Comprehensive Financial Planni...
Investment Planning
Social Security Planning
Tax Planning
Do you have an area of expertise or specialization?
College/Education Planning
High Net Worth Client Needs
Investment Advice with Ongoing...
Retirement Planning & Distribu...
Tax Planning
What is your minimum asset requirement?
500K
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 Francis Keating'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®
CFP®

Certified Financial Planner

Start date: 2009

Experience

Current

February 26, 2008 - Present

WILLOW CREEK WEALTH MANAGEMENT, INC.

Office #1: 825 Gravenstein Hwy. N. Suite 5, Sebastopol, CA 95472
RIA
CRD#: 109240
SEBASTOPOL, CA
Past

November 15, 2005 - December 9, 2005

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

February 8, 2002 - August 18, 2005

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA
Past

November 21, 2001 - January 10, 2002

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
SAN FRANCISCO, CA
Past

September 28, 2000 - July 23, 2001

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
SAN FRANCISCO, CA

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".
WC
WILLOW CREEK WEALTH MANAGEMENT, INC.
WILLOW CREEK FINANCIAL SERVICES, INC. | WILLOW CREEK WEALTH MANAGEMENT, INC.

CRD#: 109240 / SEC#: 801-56562

RIA
Registered Investment Advisory firm - (5/1/1999 Approved)

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
California
(2/26/2008)
IAR
Oregon
(10/22/2018)
IAR
Texas
(10/22/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/25/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/20/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 11/7/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/27/2000
General Securities Representative Examination

Current Firm

WC
WILLOW CREEK WEALTH MANAGEMENT, INC.
WILLOW CREEK FINANCIAL SERVICES, INC. | WILLOW CREEK WEALTH MANAGEMENT, INC.

CRD#: 109240 / SEC#: 801-56562

RIA
Registered Investment Advisory firm - (5/1/1999 Approved)
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Contact information

Main Address
825 Highway 116, North Ste. #5, Sebastopol, CA 95472
Mailing Address
Phone number
(707) 829-1146
Established
Firm type
Fiscal year end
# of Employees
21

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WILLOW CREEK WEALTH MANAGEMENT, INC. FORM ADV 2A/2B - MARCH 3, 2025 (3/3/2025)

Regulatory assets under management

Total Number of Accounts2,923
AUM (Assets Under Management)$ 1,945,693,378

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

WILLOW CREEK WEALTH MANAGEMENT, INC.

CRD#: 109240Sebastopol, CA 95472

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Contact information

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