Mark SchindlerCRD Number: 1047160
Current Firm: Gwn Securities Inc.
Mark Schindler (CRD# 1047160) is an Investment Advisor Representative working at Gwn Securities Inc. in Northridge, CA and has over 31 years of experience in the finance industry. Mark Schindler has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Fried Asset Management, Inc.
|College Planning||Northridge, CA||Oct 2014 - Current||3|
|Gwn Securities Inc.||Palm Beach Gardens, FL||Feb 2014 - Current||4|
|Planmember Securities Corporation||Carpinteria, CA||Jun 2007 - Feb 2014||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1986|
|S65||NASAA Investment Advisors Law Examination||Sep 1997|
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 Management1,532MILLIONS
Total Number of Accounts17,725ACCOUNTS
Average Account Value$86,451
- 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)
- Market timing services