Mark A. Pent
Professional summary
Mark Alan Pent, who also goes by Adam Pent, is a registered financial advisor currently at ANNEX WEALTH MANAGEMENT, LLC located in Madison, Wisconsin.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Mark has worked at 2 firms and has passed the Series 66, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Pent's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 26, 2019 - Present
ANNEX WEALTH MANAGEMENT, LLC
Office #1: 1200 John Q Hammons Drive, Suite 101, Madison, WI 53717January 14, 2003 - May 18, 2018
UBS FINANCIAL SERVICES INC.
January 2, 2003 - May 18, 2018
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
ANNEX WEALTH MANAGEMENT, LLC
CRD#: 127987 / SEC#: 801-63505
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/26/2019)
Exams
Current Firm
ANNEX WEALTH MANAGEMENT, LLC
CRD#: 127987 / SEC#: 801-63505
Contact information
SEC notice filing (33 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 19,997 |
| AUM (Assets Under Management) | $ 6,945,737,689 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2025 | ||
| 05/22/2024 | ||
| 12/18/2023 | ||
| 03/16/2023 |
Red Flags
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