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Mark Frederick Shepler

THE Leaders Group, Inc.

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About Mark Frederick Shepler

Mark Frederick Shepler is a financial advisor with over 30 years of experience in the industry. Mark is currently registered with The Leaders Group, Inc. and holds licenses for Series 6, 7, 24, 63, and 65. Mark is active in several states including Colorado, Florida, California and Illinois. Prior to joining The Leaders Group, Inc., Mark has worked with several firms including PRUCO Securities, LLC., AXA Advisors, LLC, The Equitable Life Assurance Society of the United States and PRUCO Securities Corporation.

Firm Information

Mark Shepler is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Mark Shepler’s Registration & Firm History

CO

04/01/2004 - Present

THE Leaders Group, Inc. (LITTLETON CO)

NJ

07/14/2003 - 04/27/2004

PRUCO SECURITIES, LLC. (NEWARK NJ)

NY

10/21/1997 - 06/16/2003

AXA ADVISORS, LLC (NEW YORK NY)

NY

10/21/1997 - 01/05/2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)

NJ

01/09/1987 - 02/01/1994

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

BC

Issued 06/23/1999

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 06/07/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/06/2000

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/11/1999

Series 7 - General Securities Representative Examination

BC

Issued 10/18/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Mark Frederick Shepler. Review regulatory record here.
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