Mark Spelts, financial advisor Chico CA
63 score

Mark Spelts

CRD Number: 1802111
Current Firm: Spelts Wealth Management, Inc.

Mark Spelts (CRD# 1802111) is an Investment Advisor Representative working at Spelts Wealth Management, Inc. in Chico, CA and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Infinity Financial Services Oakland, CA Feb 2016 - Current < 1
Spelts Wealth Management, Inc. Chico, CA Jul 2012 - Current 4
Lpl Financial LLC Chico, CA Jul 2002 - Feb 2016 13
Lpl Financial LLC Chico, CA Jul 2002 - Feb 2016 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1988
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Mark W. Spelts
Phone Number: 530-891-0717
Firm Website: http://www.speltswm.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    105
    MILLIONS
  • Total Number of Accounts
    275
    ACCOUNTS
  • Average Account Value
    $381,818
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Publication of periodicals or newsletters
Types of Clients
Registered States

CA, NE

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BADGES
63

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