MM
Mark M. Martiak
LPL ENTERPRISE
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 4607789
MM
Professional summary
Mark Matthew Martiak, AIF®, who also goes by Mark Martiak, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in New York, New York.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Mark has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Martiak
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.
1) 03/03/2025- Manhattan Global Wealth Management LLC- Property and Casualty- I aim to sell personal lines P&C insurance to provide financial security and peace of mind. My wife is an established residential real estate agent for SERHANT - inv. related- at New York, NY- start date 03/03/2025- 2hrs/mnth-0hrs during trading 2) 03/21/2025- Manhattan Global Wealth Management LLC- Business Entity For Tax/Investment Purposes Only- Our- LLC is organized to facilitate the receipt of independent commissions from insurance out brokerage- inv. related- at New york, NY - start date 04/17/2009- 0hrs/mnth-0hrs during trading 3) 03/21/2025- Vegas Legal Magazine- Author- Macro Financial Market Commentary in column: State of The Market: https://www.vegaslegalmagazine.com/state-of-the-market-summer-2024/- not inv. related- at Las Vegas, NV - start date 01/02/2017- 1hr/mnth-0hrs during trading 4) 03/26/2025- Manhattan Global Wealth Management LLC- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s)- start date 04/17/2009- 160hrs/mnth-160hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view Mark Matthew Martiak's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Matthew Martiak's 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®
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1270 Avenue Of The Americas Ste 1000, New York, NY 10020RIA
BD
CRD#: 8733
NEW YORK, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1270 Avenue Of The Americas Ste 1000, New York, NY 10020RIA
BD
CRD#: 8733
NEW YORK, NY
Past
December 5, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
New York, NY
Past
December 5, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
New York, NY
Past
August 21, 2019 - December 4, 2023
A.G.P. / ALLIANCE GLOBAL PARTNERS
RIA
CRD#: 8361
New York, NY
Past
August 8, 2019 - August 13, 2019
A.G.P. / ALLIANCE GLOBAL PARTNERS
RIA
CRD#: 8361
New York, NY
Past
August 8, 2019 - December 4, 2023
A.G.P. / ALLIANCE GLOBAL PARTNERS
BD
CRD#: 8361
New York, NY
Past
May 18, 2015 - August 16, 2019
PREMIER WEALTH ADVISORS, LLC
RIA
CRD#: 120358
NEW YORK, NY
Past
January 14, 2013 - August 12, 2019
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
NEW YORK, NY
Past
April 3, 2009 - August 12, 2019
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
NEW YORK, NY
Past
September 19, 2003 - April 15, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
June 18, 2003 - July 8, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
March 10, 2003 - July 8, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/14/2024)
RR
Connecticut(11/14/2024)
RR
Florida(11/15/2024)
RR
Nevada(11/14/2024)
RR
New Hampshire(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
South Carolina(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
