Mark R. Mogle

PALLER FINANCIAL SERVICES

Centennial, CO 80112

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CRD#: 5653613

Professional summary

Mark Richard Mogle, CFP®, who also goes by Mark R Mogle, is a registered financial advisor currently at PALLER FINANCIAL SERVICES, INC. located in Centennial, Colorado.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Mark has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark R Mogle

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) - RIA

Click below to view Mark Richard Mogle'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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

August 6, 2020 - Present

PALLER FINANCIAL SERVICES, INC.

Office #1: 9000 E Nichols Avenue #120, Centennial, CO 80112

RIA

CRD#: 161531

Centennial, CO

Past

April 10, 2019 - May 6, 2020

VIRTUE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167816

LITTLETON, CO

Past

January 2, 2015 - September 22, 2016

EP WEALTH ADVISORS

RIA

CRD#: 111147

LITTLETON, CO

Past

June 25, 2012 - December 31, 2014

MOORE FINANCIAL GROUP

RIA

CRD#: 108973

LITTLETON, CO

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".

PALLER FINANCIAL SERVICES, INC.

PALLER FINANCIAL SERVICES, INC. | PALLER, MARK

CRD#: 161531 / SEC#: 801-129389

RIA

Registered Investment Advisory firm - (5/14/2024 Approved)

Colorado

Registered Investment Advisory firm - (10/25/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (7/15/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/25/2024 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(8/6/2020)

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: 3/29/2011

Uniform Investment Adviser Law Examination

Current Firm

PALLER FINANCIAL SERVICES, INC.

PALLER FINANCIAL SERVICES, INC. | PALLER, MARK

CRD#: 161531 / SEC#: 801-129389

RIA

Registered Investment Advisory firm - (5/14/2024 Approved)

Colorado

Registered Investment Advisory firm - (10/25/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (7/15/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/25/2024 Terminated)

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Contact information

Main Address

9000 E Nichols Avenue #120, Centennial, CO 80112

Mailing Address

Phone number

(303) 858-0045

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PALLER FINANCIAL SERVICES, INC. BROCHURE SUPPLEMENT (10/6/2025)

Regulatory assets under management

Total Number of Accounts	418
AUM (Assets Under Management)	$ 146,899,999

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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Firm Stability Insights

Mark R. Mogle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Mogle's CRS (Customer Relationship Summary).

Certified licenses

Experience

PALLER FINANCIAL SERVICES, INC.

VIRTUE CAPITAL MANAGEMENT, LLC

EP WEALTH ADVISORS

MOORE FINANCIAL GROUP

Primary Firm SEC Registration

PALLER FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2011

Current Firm

PALLER FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PALLER FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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