Mark J. Robles

ALTA PACIFIC WEALTH MANAGEMENT LLC

Mission Viejo, CA 92691

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CRD#: 857485

Professional summary

Mark Joseph Robles is a registered financial advisor currently at ALTA PACIFIC WEALTH MANAGEMENT LLC located in Mission Viejo, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Mark has worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 8 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Joseph Robles's 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 22, 2014 - Present

ALTA PACIFIC WEALTH MANAGEMENT LLC

Office #1: 27201 Puerta Real Suite 300, Mission Viejo, CA 92691

RIA

CRD#: 169190

Mission Viejo, CA

Past

June 27, 2013 - July 11, 2014

LAUREL WEALTH ADVISORS, INC.

RIA

CRD#: 157139

SOLANA BEACH, CA

Past

October 21, 2010 - July 3, 2013

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

October 18, 2010 - July 3, 2013

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

MISSION VIEJO, CA

Past

September 30, 2008 - October 19, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

RANCHO SANTA FE, CA

Past

September 30, 2008 - October 19, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

RANCHO SANTA FE, CA

Past

January 1, 2008 - October 7, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LAGUNA WOODS, CA

Past

January 1, 2008 - October 7, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LAGUNA WOODS, CA

Past

July 8, 1997 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

LAGUNA WOODS, CA

Past

January 24, 1991 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

LAGUNA WOODS, CA

Past

September 9, 1987 - January 18, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 5, 1983 - August 19, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

September 17, 1980 - August 30, 1982

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

January 31, 1980 - September 21, 1980

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

September 25, 1978 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

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

California
(5/22/2014)

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 66

Date: 5/28/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/25/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/16/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/5/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ALTA PACIFIC WEALTH MANAGEMENT LLC

ALTA PACIFIC WEALTH MANAGEMENT LLC | ROBLES, MARK | ALTA PACIFIC WEALTH MANAGEMENT, LLC

CRD#: 169190 / SEC#:

California

Registered Investment Advisory firm - (5/21/2014 Approved)

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Contact information

Main Address

27201 Puerta Real Suite 300, Mission Viejo, CA 92691

Mailing Address

Phone number

(949) 202-9064

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	77
AUM (Assets Under Management)	$ 65,039,721

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Mark J. Robles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Joseph Robles's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAUREL WEALTH ADVISORS, INC.

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 5/28/2008

Series 63

Date: 6/25/1979

Series 7

Date: 9/16/1978

Series 8

Date: 3/5/1990

Current Firm

ALTA PACIFIC WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALTA PACIFIC WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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