Mark RumpzaCRD Number: 1908003
Current Firm: Oneamerica Securities, Inc.
Mark Rumpza (CRD# 1908003) is an Investment Advisor Representative working at Oneamerica Securities, Inc. in Phoenix, AZ and has over 27 years of experience in the finance industry.
Householder Group Estate & Retirement Specialists
Woodbury Financial Services, Inc.
Barnes Investment Advisory Inc.
|Oneamerica Securities||Scottsdale, AZ||Apr 2011 - Current||5|
|American United Life||Scottsdale, AZ||Mar 2011 - Current||5|
|Northwestern Mutual Investment Services, LLC||Milwaukee, WI||Jan 2000 - Feb 2011||11|
|Northwestern Mutual Life Insurance Company||Milwaukee, WI||Nov 1999 - Feb 2011||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1989|
|S65||NASAA Investment Advisors Law Examination||Jul 2011|
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:
- Financial Issue
- Employer Dispute
- Customer Dispute
- Regulatory Event
Total Assets Under Management137MILLIONS
Total Number of Accounts1,944ACCOUNTS
Average Account Value$70,683
- 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
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV