Mark A. Zoltay
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 Alan Zoltay, who also goes by Zoltay Alan Mark, Mark Alan Zoltay Mr., 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 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2013 - September 1, 2017
STANCORP INVESTMENT ADVISERS, INC.
August 8, 2011 - September 1, 2017
STANCORP EQUITIES, INC.
May 20, 2008 - January 10, 2011
MML INVESTORS SERVICES, LLC
April 30, 2007 - December 5, 2007
PRINCIPAL FUNDS DISTRIBUTOR, INC.
December 11, 2006 - April 4, 2008
PRINCIPAL SECURITIES, INC.
January 4, 2005 - April 4, 2008
PRINCIPAL SECURITIES, INC.
November 16, 2000 - June 4, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
STANCORP INVESTMENT ADVISERS, INC.
CRD#: 110228 / SEC#: 801-57811
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
STANCORP INVESTMENT ADVISERS, INC.
CRD#: 110228 / SEC#: 801-57811
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 103,728 |
| AUM (Assets Under Management) | $ 33,592,166,292 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2025 | ||
| 03/28/2024 | ||
| 01/27/2023 |
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.
