Mark A. Poitras
Professional summary
Mark Andre Poitras, CFP® is a registered financial advisor currently at EAST END FINANCIAL GROUP, INC. located in Riverhead, New York and OSAIC WEALTH, INC. located in Scottsdale, Arizona.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Mark has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Andre Poitras's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Andre Poitras's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2012
Experience
August 16, 2017 - Present
EAST END FINANCIAL GROUP, INC.
Office #1: 318 Roanoke Ave, Riverhead, NY 11901October 11, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255Office #2: 318 Roanoke Avenue, Riverhead, NY 11901October 11, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255Office #2: 318 Roanoke Avenue, Riverhead, NY 11901August 29, 2017 - October 11, 2024
AMERICAN PORTFOLIOS ADVISORS, INC
August 7, 2017 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
March 26, 2013 - August 7, 2017
HSBC SECURITIES (USA) INC.
March 22, 2013 - August 7, 2017
HSBC SECURITIES (USA) INC.
January 24, 2011 - March 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 2011 - March 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2010 - January 25, 2011
OSAIC WEALTH, INC.
August 1, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
August 1, 2008 - July 30, 2010
NATIONWIDE SECURITIES, LLC
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/11/2024)
(10/11/2024)
(6/11/2021)
(10/11/2024)
(10/11/2024)
(10/11/2024)
(10/11/2024)
Exams
FINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.
Company Information
OSAIC WEALTH, INC.
CRD#: 23131Riverhead, NY 11901TRUST BUT VERIFY
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