Mark T. Flowers

PRIVATE PORTFOLIOS

SAN MATEO, CA 94401-2492

CRD#: 5717806

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Professional summary

Mark Tracy Flowers, CFP®, who also goes by Mark Tracy Flowers Jr, Mark Flowers, is a registered financial advisor currently at PRIVATE PORTFOLIOS, INC. located in San Mateo, California and OSAIC WEALTH, INC. located in San Mateo, California.

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 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Tracy Flowers Jr | Mark Flowers

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 Tracy Flowers'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: 2013

Experience

Current

October 30, 2012 - Present

PRIVATE PORTFOLIOS, INC.

Office #1: 424 N San Mateo Dr Ste 200, San Mateo, CA 94401-2492

RIA

CRD#: 111905

SAN MATEO, CA

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 424 N San Mateo Dr Ste 200, San Mateo, CA 94401-2492

RIA

CRD#: 23131

SAN MATEO, CA

Past

October 9, 2012 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

SAN MATEO, CA

Past

April 4, 2012 - January 4, 2013

AMS CAPITAL MANAGEMENT LLC

RIA

CRD#: 153540

SAN MATEO, CA

Past

August 25, 2010 - March 8, 2011

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAN MATEO, CA

Past

August 25, 2010 - March 8, 2011

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SAN MATEO, CA

Past

October 7, 2009 - August 24, 2010

FOOTHILL SECURITIES, INC.

CRD#: 1027

REDWOOD CITY, 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".

PRIVATE PORTFOLIOS, INC.

CRD#: 111905 / SEC#: 801-110209

RIA

Registered Investment Advisory firm - (4/3/2017 Approved)

California

Registered Investment Advisory firm - (5/8/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/8/2017 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.

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

Alabama
(11/13/2025)

Arizona
(6/14/2024)

IAR

California
(10/30/2012)

California
(6/14/2024)

Florida
(6/14/2024)

Iowa
(1/17/2025)

Nevada
(6/13/2025)

Washington
(6/14/2024)

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: 10/26/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/6/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PRIVATE PORTFOLIOS, INC.

CRD#: 111905 / SEC#: 801-110209

RIA

Registered Investment Advisory firm - (4/3/2017 Approved)

California

Registered Investment Advisory firm - (5/8/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/8/2017 Terminated)

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Contact information

Main Address

424 North San Mateo Drive Suite 200, San Mateo, CA 94401-2491

Mailing Address

Phone number

(650) 548-9800

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

ADV PART 2A WITH 2B (1/15/2026)

Regulatory assets under management

Total Number of Accounts	454
AUM (Assets Under Management)	$ 293,473,879

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 T. Flowers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Tracy Flowers's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

AMS CAPITAL MANAGEMENT LLC

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

FOOTHILL SECURITIES, INC.

Primary Firm SEC Registration

PRIVATE PORTFOLIOS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/26/2009

SIE

Date: 10/1/2018

Series 7

Date: 10/6/2009

FINRA

Current Firm

PRIVATE PORTFOLIOS, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRIVATE PORTFOLIOS, INC.

TRUST BUT VERIFY

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