MT
MT
Mark Turner
23 Years of Experience
Anaheim, CA
4 DisclosuresSells Insurance
Mark Turner is a registered investment advisor at Wms Financial Services, based in Anaheim, CA, with 23 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 36 clients with $5.4M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1 advisor
Number of Clients
36 clients
Average Client Portfolio
$150K average
Assets Under Management
$5.4M
Fee Structure
Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $100K | 2.00% |
| $100K - $1.0M | 1.75% |
| $1.0M - $5.0M | 1.50% |
| $5M+ | 1.50% |
Fees negotiable for accounts over $5,000,000.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Loading...
Location
8820 E. Foxhollow Drive, Anaheim, CA, 92808
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2010Settled
Customer Dispute
December 2009Settled
Customer Dispute
November 2009Settled
Customer Dispute
September 2009Settled
Other Business ActivitiesSells Insurance
Mark is the owner of WM Strategies & Insurance Services Corp since 2000, where he sells insurance products. He dedicates a few hours per week to this activity.
Employment History
Current Registrations
Wms Financial Services
March 2018 - Present · 8 yrs 2 mos
Previous Registrations
Global Investment Solutions, LLC
June 2016 - June 2018 · 2 yrs
R . E. Decker and Associates, LLC
August 2012 - August 2016 · 4 yrs
Redhawk Wealth Advisors, INC.
January 2012 - January 2012 · 0 mos
Capwest Securities, INC.
November 2009 - August 2011 · 1 yr 9 mos
Workman Securities Corporation
September 2008 - November 2009 · 1 yr 2 mos
Capwest Securities, INC.
February 2007 - September 2008 · 1 yr 7 mos
United Securities Alliance, INC.
September 2004 - February 2007 · 2 yrs 5 mos
Wall Street Financial Group, INC
April 2002 - September 2004 · 2 yrs 5 mos
State Registrations1 state
CA
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.