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Mark E Marek

CRD# 4794461·Registered 2004 - 2010
Barred: Mark E Marek was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Mark E Marek, who also goes by Mark Marek, was a registered financial advisor. Mark was a previously registered financial advisor and started their career in finance 2004 - 2010. Mark had worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mark Marek

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

22 years in the financial services industry

Current & Past Employments

ALAMO ASSET ADVISORS·CRD# 140166
RIA
San Antonio, TX
October 12, 2009 - December 14, 2010
WFG INVESTMENTS, INC.·CRD# 22704
BD
San Antonio, TX
July 6, 2009 - September 7, 2010
RIVERSTONE WEALTH MANAGEMENT, INC.·CRD# 40418
RIA
San Antonio, TX
May 22, 2006 - July 28, 2009
RIVERSTONE WEALTH MANAGEMENT, INC.·CRD# 40418
BD
San Antonio, TX
May 22, 2006 - July 28, 2009
MORGAN STANLEY DW INC.·CRD# 7556
RIA
San Antonio, TX
August 5, 2004 - June 5, 2006
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
June 25, 2004 - June 5, 2006

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Current Firm

AA
ALAMO ASSET ADVISORS

ALAMO ASSET ADVISORS | ALAMO ASSET ADVISORS, LLC | ALAMO INVESTMENT ADVISORS, LLC | E & C PRIVATE WEALTH MANAGEMENT GROUP, LLC | E & C PRIVATE WEALTH MANAGEMENT, INC.

CRD#: 140166 / SEC#: 801-70582

Contact Information

Main Address

16500 San Pedro, Suite 410, San Antonio, TX 78232

Documents

Latest Form ADV

Part 2 Brochures

ALAMO ADV 2A 10.23.2013 (10/23/2013)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2004About the Series 66 exam

Series 31 — Futures Managed Funds Examination

Passed Oct 2004About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Jun 2004About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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MM
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