Mark KlugeCRD Number: 1179571
Current Firm: Wall Street Financial Group, Inc.
Mark Kluge (CRD# 1179571) is an Investment Advisor Representative working at Wall Street Financial Group, Inc. in Rochester, NY and has over 31 years of experience in the finance industry.
Wall Street Financial Group, Inc.
American Portfolios Advisors, Inc.
Sage, Rutty & Company, Inc.
|Blaustein, Dicesare, Kluge & Associate, LLC||Rochester, NY||Oct 2005 - Current||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1984|
|S66||NASAA Uniform Combined State Law Examination||Feb 2009|
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 Management448MILLIONS
Total Number of Accounts2,408ACCOUNTS
Average Account Value$186,168
- 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)
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, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV