Mark P. Yates

WEALTH STRATEGIES GROUP

NEWPORT BEACH, CA 92663

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CRD#: 4735704

Professional summary

Mark Patrick Yates, CFP® is a registered financial advisor currently at WEALTH STRATEGIES GROUP located in Newport Beach, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Mark has worked at 5 firms and has passed the Series 66, 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.

MARK YATES, SOLE PROPRIETORSHIP: INSURANCE BROKER. INVESTMENT RELATED: NO. No NUMBER OF HOURS: 1 HOUR DURING SECURITIES TRADING HOURS: START DATE: 04/01/2004 ADDRESS: 17011 Beach Blvd #150, Huntington Beach CA 92647 DESCRIPTION: Health, Life & fixed annuity sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Patrick Yates'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

June 12, 2024 - Present

WEALTH STRATEGIES GROUP

Office #1: 2901 W. Coast Highway, Suite 200, Newport Beach, CA 92663

RIA

CRD#: 326407

NEWPORT BEACH, CA

Past

June 29, 2007 - December 20, 2023

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HUNTINGTON BEACH, CA

Past

June 29, 2007 - December 20, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

NEWPORT BEACH, CA

Past

April 19, 2006 - July 3, 2007

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

COSTA MESA, CA

Past

April 13, 2004 - July 3, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

COSTA MESA, CA

Past

December 8, 2003 - April 7, 2004

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

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

California
(6/12/2024)

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: 4/17/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/2/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/6/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WEALTH STRATEGIES GROUP

TRAVIS ALLEN INC. | WEALTH STRATEGIES GROUP | TRAVIS ALLEN INC. DBA WEALTH STRATEGIES GROUP

CRD#: 326407 / SEC#: 801-128247

RIA

Registered Investment Advisory firm - (9/12/2024 Terminated)

California

Registered Investment Advisory firm - (6/12/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2901 W. Coast Highway, Suite 200, Newport Beach, CA 92663

Mailing Address

Phone number

(888) 848-4144

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	134
AUM (Assets Under Management)	$ 43,591,624

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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Advisor Monitoring

Firm Stability Insights

Mark P. Yates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/17/2006

Series 63

Date: 1/2/2004

SIE

Date: 10/1/2018

Series 7

Date: 1/5/2006

Series 6

Date: 12/6/2003

Current Firm

WEALTH STRATEGIES GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WEALTH STRATEGIES GROUP

TRUST BUT VERIFY

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