MM
Mark A. Mertens
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CRD#: 5349725
MM
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Allen Mertens was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2007. Mark had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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)Big Sky Advisors, 333 S KIRKWOOD RD, STE 202, KIRKWOOD, MO, 9/23/2015 AS Independent insurance agent for various independent insurance companies. INV REL - 40/WK - 40/TRADING. 2)COMTREA, 227 E MAIN ST, FESTUS, MO, BOARD MEMBER OF A NON-PUBLIC ENTITY, NIR, DRUG AND ALCOHOL ABUSE TREATMENT CENTER, BOARD MEMBER, 01/01/02, NIR, 20 HR/MO- 0/TRADING HR. 3)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 9/2015 AS ADVISORY REP OF A RIA. INV REL - 40 HR/WK - 40/TRADING, 09/23/15 4)E WALTER HAUSSTETTE FOUNDATION, PO BOX 220520, KIRKWOOD, MO, 9/23/2015 AS BOARD MEMBER/ACTING SECRETARY. NIR - NPO - 8 HR/YR - 0/TRADING. 5)DAS RAILS ENTERPRISE LLC, 2500 ROCK AND HORSE FARMS, ESTUS, MO, 9/01/2008 AS OWNER. COMPANY CREATES RAILROAD TRACK INDICATORS. NIR - 10 HR/MO - 0/TRADING. 6)BIG SKY ADVISORS, 333 S KIRKWOOD RD, KIRKWOOD, MO, DBA, MEMBER, NIR, 09/23/15, 40 HR/WK- 40/TRADING HR. 7)JEFFERSON COUNTY COMMUNITY MENTAL HEALTH FUND BOARD, 227 EAST MAIN STREET, FESTUS, MO, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 8 HR/MO- 4/TRADING HR.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
September 30, 2015 - August 3, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Kirkwood, MO
Past
September 30, 2015 - August 3, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Kirkwood, MO
Past
August 3, 2011 - December 31, 2015
UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.
RIA
CRD#: 116386
KIRKWOOD, MO
Past
February 16, 2011 - December 21, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
KIRKWOOD, MO
Past
February 10, 2011 - October 13, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
KIRKWOOD, MO
Past
April 27, 2009 - February 1, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FESTUS, MO
Past
January 1, 2008 - February 1, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FESTUS, MO
Past
July 23, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
FESTUS, MO
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
