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Mark Richard Stephens

Mark R. Stephens

PENDULUM WEALTH PARTNERS | Financial Advisor
ITASCA, IL 60143
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CRD#: 7224162
Mark Richard Stephens

Professional summary

Mark Richard Stephens is a registered financial advisor currently at PENDULUM WEALTH PARTNERS located in Itasca, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Mark has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

What are your service offerings?
Retirement Planning Strategies
Investments
Cash Flow Management Strategie...
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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Stephens'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

May 2, 2025 - Present

PENDULUM WEALTH PARTNERS

Office #1: 500 Park Blvd Ste 1400, Itasca, IL 60143
RIA
CRD#: 335762
ITASCA, IL
Past

September 24, 2020 - May 8, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Burr Ridge, IL
Past

May 11, 2020 - May 8, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Burr Ridge, 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".
PW
PENDULUM WEALTH PARTNERS
EJMK VENTURES LLC | PENDULUM WEALTH PARTNERS | PENDULUM PARTNERS

CRD#: 335762 / SEC#: 801-132537

RIA
Registered Investment Advisory firm - (4/25/2025 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.

Highlighted states indicate IAR registrations

IAR
Illinois
(5/2/2025)
IAR
Texas
(9/22/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/1/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/11/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/26/2019
Securities Industry Essentials Examination

Current Firm

PW
PENDULUM WEALTH PARTNERS
EJMK VENTURES LLC | PENDULUM WEALTH PARTNERS | PENDULUM PARTNERS

CRD#: 335762 / SEC#: 801-132537

RIA
Registered Investment Advisory firm - (4/25/2025 Approved)
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Contact information

Main Address
500 Park Blvd Ste 1400, Itasca, IL 60143
Mailing Address
Phone number
(630) 861-6143
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (4 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

PENDULUM PARTNERS DISCLOSURE BROCHURE (8/21/2025)

Regulatory assets under management

Total Number of Accounts3,087
AUM (Assets Under Management)$ 254,387,315

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

PENDULUM WEALTH PARTNERS

Financial AdvisorCRD#: 335762Itasca, IL 60143

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Contact information

(xxx) xxx-xxxx
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