MW
Mark D. Whittaker
TREK FINANCIAL
SPANISH FORK, UT
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CRD#: 4608485
MW
Professional summary
Mark David Whittaker is a registered financial advisor currently at TREK FINANCIAL located in Spanish Fork, Utah.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE, 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.
1.) EIDE BAILLY LLP - PARTNER - TAX PREPARATION/ACCOUNTING/BOOKKEEPING/CPA - OREM, UT - SINCE 10/2017 - NOT INVESTMENT RELATED
2.) Insurance agent - sales of fixed insurance products - orem, ut - Since 06/2020
CRS (Client Relationship Summary) - RIA
Click below to view Mark David Whittaker'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®
NoneExperience
Current
June 22, 2020 - Present
TREK FINANCIAL
RIA
CRD#: 109376
SPANISH FORK, UT
Past
February 13, 2018 - June 17, 2020
EIDE BAILLY ADVISORS, LLC
RIA
CRD#: 113564
OREM, UT
Past
February 9, 2018 - July 23, 2020
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
OREM, UT
Past
May 7, 2015 - February 13, 2018
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
Orem, UT
Past
August 16, 2012 - March 7, 2018
TREK FINANCIAL
RIA
CRD#: 109376
OREM, UT
Past
June 1, 2005 - May 15, 2015
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
OREM, UT
Past
June 1, 2005 - May 15, 2015
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
OREM, UT
Past
January 9, 2004 - June 1, 2005
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
OREM, UT
Past
December 2, 2003 - June 1, 2005
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
December 16, 2002 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
BD
CRD#: 24049
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".
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.
CRD#: 109376 / SEC#: 801-58087
RIA
Registered Investment Advisory firm - (11/15/2000 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
Utah(6/22/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.
CRD#: 109376 / SEC#: 801-58087
RIA
Registered Investment Advisory firm - (11/15/2000 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 483-1510
Established
Firm type
Fiscal year end
# of Employees
56
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11,057 |
| AUM (Assets Under Management) | $ 2,492,708,552 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
