Mark ThielCRD Number: 1821396
Current Firm: Bmo Harris Financial Advisors, Inc.
Mark Thiel (CRD# 1821396) is an Investment Advisor Representative working at Bmo Harris Financial Advisors, Inc. in Elm Grove, WI and has over 29 years of experience in the finance industry.
Financial Service Group Inc.
Fortress Planning Group
Cedarpoint Investment Advisors, Inc.
|Bmo Harris Financial Advisors, Inc.||Brookfield, WI||Aug 2012 - Current||5|
|Bmo Harris Bank||Milwaukee, WI||Jul 2011 - Current||6|
|M&i Brokerage Services||Brookfield, WI||Jan 2005 - Current||12|
|M & I Insurance Services||Milwaukee, WI||Jan 2005 - Current||12|
|M & I Trust||Milwaukee, WI||Jan 2005 - Current||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1988|
|S66||NASAA Uniform Combined State Law Examination||Oct 2002|
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
Total Assets Under Management11,801MILLIONS
Total Number of Accounts119,705ACCOUNTS
Average Account Value$98,584
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MT, NC, NE, NJ, NM, NV, NY, OH, OK, OR, PA, SC, TN, TX, UT, VA, VI, VT, WA, WI, WV