Mark GillamCRD Number: 1255578
Current Firm: Mark Gillam Enterprises
Mark Gillam (CRD# 1255578) is an Investment Advisor Representative working at Mark Gillam Enterprises in Fair Oaks, CA and has over 20 years of experience in the finance industry.
Adams Ashby Financial Advisors
Three Oaks Capital Management
Strategic Wealth Advisors Group
|Self-employed||Fair Oaks, CA||Mar 2001 - Current||17|
|Transamerica Financial Advisors, Inc.||Fair Oaks, CA||Jul 1997 - Current||20|
|Mark Gillam Enterprises||Fair Oaks, CA||Mar 1988 - Current||30|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1997|
|S65||NASAA Investment Advisors Law Examination||Apr 1999|
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 Management169MILLIONS
Total Number of Accounts436ACCOUNTS
Average Account Value$388,071
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
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