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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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MT

Mark Tometich

PT ASSET MANAGEMENT
Chicago, IL 60661
Some features on this profile are disabled
CRD#: 6454596
MT

Professional summary

Mark Tometich is a registered financial advisor currently at PT ASSET MANAGEMENT, LLC located in Chicago, Illinois and ALPS DISTRIBUTORS, INC. located in Chicago, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Mark has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
PT Asset Management; Investment-Related; 500 W. Madison St. #500, Chicago IL 60661; Asset Management; Director of Fixed Income; 09/01/2023; 160 HRS/MON; 130 HRS/MON During Trading Hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Tometich'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

October 18, 2023 - Present

PT ASSET MANAGEMENT, LLC

Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661
RIA
CRD#: 107619
Chicago, IL
Current

February 3, 2025 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661
BD
CRD#: 16853
Chicago, IL
Past

August 29, 2023 - January 31, 2025

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

BD
CRD#: 36155
CHICAGO, IL
Past

July 1, 2021 - August 28, 2023

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Schaumburg, IL
Past

May 28, 2021 - August 28, 2023

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Schaumburg, IL
Past

July 3, 2019 - February 4, 2021

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

October 21, 2015 - July 1, 2019

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

June 1, 2015 - July 17, 2015

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
DOWNERS GROVE, IL

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".
PA
PT ASSET MANAGEMENT, LLC
BETZOLD BERG INVESTMENT MANAGEMENT INC | PTMR ADVISORS, LLC (RELYING ADVISER) | PT ASSET MANAGEMENT, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, INC. | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | PERFORMANCE TRUST ASSET MANAGEMENT, LLC | BETZOLD INVESTMENT GROUP, INC. | BETZOLD BERG INVESTMENT MANAGEMENT, INC.

CRD#: 107619 / SEC#: 801-46031

RIA
Registered Investment Advisory firm - (3/11/1994 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.
RR
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

RR
Arizona
(2/3/2025)
RR
California
(2/3/2025)
RR
Hawaii
(2/3/2025)
IAR
Illinois
(10/18/2023)
RR
Nevada
(2/3/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/1/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PT ASSET MANAGEMENT, LLC
BETZOLD BERG INVESTMENT MANAGEMENT INC | PTMR ADVISORS, LLC (RELYING ADVISER) | PT ASSET MANAGEMENT, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, INC. | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | PERFORMANCE TRUST ASSET MANAGEMENT, LLC | BETZOLD INVESTMENT GROUP, INC. | BETZOLD BERG INVESTMENT MANAGEMENT, INC.

CRD#: 107619 / SEC#: 801-46031

RIA
Registered Investment Advisory firm - (3/11/1994 Approved)
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Contact information

Main Address
500 W. Madison Street Suite 500, Chicago, IL 60661
Mailing Address
Phone number
(312) 521-1000
Established
Firm type
Fiscal year end
# of Employees
52

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PTAM - FORM ADV PART 2 - MARCH 2023 (3/31/2025)

Regulatory assets under management

Total Number of Accounts6
AUM (Assets Under Management)$ 9,587,215,582

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

PT ASSET MANAGEMENT, LLC

CRD#: 107619Chicago, IL 60661

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