Mark R. Ratliff
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 Richard Ratliff was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2010 - May 24, 2019
AVANTAX ADVISORY SERVICES
February 3, 2010 - May 24, 2019
AVANTAX INVESTMENT SERVICES, INC.
December 14, 2004 - August 25, 2008
EDWARD JONES
September 16, 2004 - October 28, 2004
IDS LIFE INSURANCE COMPANY
September 16, 2004 - October 28, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
November 17, 2000 - August 26, 2004
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
