Mark S. Robinson

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CRD#: 5520736

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 Steven Robinson, who also goes by Mark S Robinson, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 2008. Mark had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark S Robinson

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

February 8, 2020 - November 20, 2025

RIA ADVISORY GROUP, LLC

RIA

CRD#: 152566

BUFFALO, MN

Past

September 26, 2019 - February 4, 2020

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Buffalo, MN

Past

September 9, 2019 - February 4, 2020

MML INVESTORS SERVICES, LLC

CRD#: 10409

Buffalo, MN

Past

May 3, 2017 - September 12, 2019

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Buffalo, MN

Past

April 17, 2017 - September 12, 2019

PRUCO SECURITIES, LLC.

CRD#: 5685

Buffalo, MN

Past

January 13, 2017 - April 12, 2017

JIM POE & ASSOCIATES, INC.

RIA

CRD#: 140232

Fort Worth, TX

Past

December 4, 2013 - June 6, 2016

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

MINNEAPOLIS, MN

Past

August 21, 2008 - June 6, 2016

MML INVESTORS SERVICES, LLC

CRD#: 10409

MINNEAPOLIS, MN

Past

June 23, 2008 - August 25, 2008

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

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".

RIA ADVISORY GROUP, LLC

CRD#: 152566 / SEC#: 801-117837

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Iowa

Registered Investment Advisory firm - (1/2/2020 Terminated)

Minnesota

Registered Investment Advisory firm - (1/6/2020 Terminated)

Missouri

Registered Investment Advisory firm - (1/2/2020 Terminated)

Nevada

Registered Investment Advisory firm - (2/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/2/2020 Terminated)

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).

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.

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 65

Date: 5/5/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/16/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/20/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/31/2017

Investment Company Products/Variable Contracts Principal Examination

Current Firm

RIA ADVISORY GROUP, LLC

CRD#: 152566 / SEC#: 801-117837

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Iowa

Registered Investment Advisory firm - (1/2/2020 Terminated)

Minnesota

Registered Investment Advisory firm - (1/6/2020 Terminated)

Missouri

Registered Investment Advisory firm - (1/2/2020 Terminated)

Nevada

Registered Investment Advisory firm - (2/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/2/2020 Terminated)

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Contact information

Main Address

500 Sw 7th Street Suite 204, Des Moines, IA 50309

Mailing Address

Phone number

(515) 965-8588

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A CLIENT BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	3,009
AUM (Assets Under Management)	$ 456,517,836

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 S. Robinson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

JIM POE & ASSOCIATES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

QUEST CAPITAL STRATEGIES, INC.

Primary Firm SEC Registration

RIA ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/2016

Series 63

Date: 9/16/2008

SIE

Date: 10/1/2018

Series 6

Date: 6/20/2008

Series 26

Date: 5/31/2017

Current Firm

RIA ADVISORY GROUP, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIA ADVISORY GROUP, LLC

TRUST BUT VERIFY

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