Mark A. Holton

BANKERS LIFE ADVISORY SERVICES

CHARLOTTE, NC 28277

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CRD#: 5412484

Professional summary

Mark Andrew Holton, who also goes by Mark Holton, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Charlotte, North Carolina and BANKERS LIFE SECURITIES, INC. located in Charlotte, North Carolina.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Mark has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Holton

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.

BANKER'S LIFE AND CASUALTY POSITION: Unit Supervisor NATURE: Insurance INVESTMENT RELATED: NO NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 200 START DATE: 03/23/2005 ADDRESS: 10706 Sikes Place Suite 300, Charlotte NC 28277 DESCRIPTION: Sales and Service of Non Variable Insurance products. Train and manage insurance agents.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew Holton's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 28, 2017 - Present

BANKERS LIFE ADVISORY SERVICES, INC.

Office #1: 10706 Sikes Place Suite 300, Charlotte, NC 28277

RIA

CRD#: 281285

CHARLOTTE, NC

Current

May 26, 2016 - Present

BANKERS LIFE SECURITIES, INC.

Office #1: 10706 Sikes Place Suite 300, Charlotte, NC 28277

CRD#: 173962

Charlotte, NC

Past

June 16, 2010 - May 26, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

CHARLOTTE, NC

Past

July 27, 2009 - May 28, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

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".

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 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.

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

California
(5/26/2016)

Florida
(11/4/2021)

Georgia
(6/25/2021)

IAR

Illinois
(7/25/2024)

Minnesota
(8/1/2023)

New Jersey
(9/30/2024)

North Carolina
(5/26/2016)

IAR

North Carolina
(9/28/2017)

South Carolina
(5/26/2016)

Texas
(11/16/2023)

Virginia
(5/26/2016)

Wisconsin
(12/14/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/26/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/7/2009

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: 1/31/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/24/2009

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 Approved)

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Contact information

Main Address

303 E. Wacker Drive 5th Fl, Chicago, IL 60601

Mailing Address

Phone number

(844) 553-9083

Established

Firm type

Fiscal year end

# of Employees

384

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLAS WRAP BROCHURE 03012025 (2/28/2025)

BLAS-ADV-PART2A 03012025 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	14,938
AUM (Assets Under Management)	$ 1,943,847,697

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 A. Holton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew Holton's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANKERS LIFE SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

Primary Firm SEC Registration

BANKERS LIFE ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/26/2017

Series 63

Date: 8/7/2009

SIE

Date: 10/1/2018

Series 7

Date: 1/31/2017

Series 6

Date: 7/24/2009

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BANKERS LIFE ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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