Mark J. Modlo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Joseph Modlo was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1981. Mark had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2012 - December 13, 2022
I.M.S. WEALTH MANAGEMENT, LLC
February 16, 2010 - December 5, 2012
EQUITABLE ADVISORS, LLC
February 29, 2008 - December 5, 2012
EQUITABLE ADVISORS, LLC
April 1, 2003 - February 1, 2008
EDWARD JONES
January 14, 2002 - April 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 4, 1990 - April 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 28, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
August 14, 1981 - April 6, 1988
PRUDENTIAL EQUITY GROUP, LLC
April 13, 1981 - September 18, 1981
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
I.M.S. WEALTH MANAGEMENT, LLC
CRD#: 164717 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 128 |
| AUM (Assets Under Management) | $ 33,426,545 |
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.
