Mark Essenfeld

SOLTIS INVESTMENT ADVISORS

Oswego, IL

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CRD#: 4572427

Professional summary

Mark Essenfeld, AIF®, CFP® is a registered financial advisor currently at SOLTIS INVESTMENT ADVISORS, LLC located in Oswego, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Mark has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 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.

Life's Plan Inc., is located at 901 Warrenville Rd., Suite 500, Lisle, IL 60532. My position within the organization is Treasurer for the Board of Trustees. As Treasurer, I do not control any accounts, but rather I provide guidance and oversight on financial matters relating to the operation of the not-for-profit organization. Our work is investment related. I started at Life's Plan Inc. on 3/1/2010. Hours a month: 2. Hours during trading: 2.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Essenfeld'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

July 8, 2024 - Present

SOLTIS INVESTMENT ADVISORS, LLC

RIA

CRD#: 154690

Oswego, IL

Past

January 6, 2022 - July 22, 2024

HUB INVESTMENT PARTNERS, LLC

RIA

CRD#: 307956

Oswego, IL

Past

November 16, 2020 - December 31, 2021

HUB INVESTMENT PARTNERS, LLC

RIA

CRD#: 307956

OSWEGO, IL

Past

March 25, 2017 - September 21, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

DOWNERS GROVE, IL

Past

March 25, 2017 - September 21, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

DOWNERS GROVE, IL

Past

January 22, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

DOWNERS GROVE, IL

Past

January 22, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

DOWNERS GROVE, IL

Past

April 30, 2013 - December 14, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

SOMONAUK, IL

Past

April 30, 2013 - December 14, 2015

LPL FINANCIAL LLC

CRD#: 6413

SOMONAUK, IL

Past

October 15, 2010 - April 30, 2013

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

AURORA, IL

Past

October 15, 2010 - April 30, 2013

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

AURORA, IL

Past

June 3, 2009 - October 14, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

DOWNERS GROVE, IL

Past

May 1, 2009 - October 12, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

DOWNERS GROVE, IL

Past

May 1, 2009 - October 12, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

DOWNERS GROVE, IL

Past

April 2, 2007 - May 4, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

LISLE, IL

Past

April 2, 2007 - May 4, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

LISLE, IL

Past

August 7, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LISLE, IL

Past

September 6, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

LISLE, IL

Past

August 14, 2002 - September 9, 2002

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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".

SOLTIS INVESTMENT ADVISORS, LLC

CRD#: 154690 / SEC#: 801-71833

RIA

Registered Investment Advisory firm - (9/20/2010 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

Illinois
(7/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/22/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/13/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/21/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/14/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/15/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/13/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SOLTIS INVESTMENT ADVISORS, LLC

CRD#: 154690 / SEC#: 801-71833

RIA

Registered Investment Advisory firm - (9/20/2010 Approved)

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Contact information

Main Address

20 North Main Suite 400, St. George, UT 84770

Mailing Address

Phone number

(435) 674-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOLTIS BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,499
AUM (Assets Under Management)	$ 8,352,553,865

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.

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Firm Stability Insights

Mark Essenfeld

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Essenfeld's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUB INVESTMENT PARTNERS, LLC

HUB INVESTMENT PARTNERS, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

SECURITIES AMERICA, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

SOLTIS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/22/2002

Series 63

Date: 8/13/2002

SIE

Date: 9/21/2018

Series 31

Date: 11/14/2002

Series 7

Date: 10/15/2002

Series 6

Date: 8/13/2002

Current Firm

SOLTIS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOLTIS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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