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Mark Pelletier

Cambridge Investment Research Advisors, INC.
25 Years of Experience
Farmington, CT
1 DisclosureBrokerSells Insurance
View SEC Summary
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Mark Pelletier is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Farmington, CT, with 25 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3940 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

74 Batterson Park Rd., Ste. 303, Farmington, CT, 06032

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History

Regulatory History (1)
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
October 2012
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark is an independent insurance agent for various companies, dedicating about a quarter of his time to this and another quarter to trading. He also works full-time as an advisory representative of an RIA and spends minimal time as a referee for athletics.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
April 2013 - Present · 13 yrs 6 mos
Cambridge Investment Research, INC.
January 2011 - Present · 15 yrs 9 mos
Cambridge Investment Research, INC.Broker
January 2011 - Present · 15 yrs 9 mos
Previous Registrations
Cambridge Investment Research Advisors, INC.
January 2011 - December 2012 · 1 yr 11 mos
Ameriprise Financial Services, INC.
February 2010 - January 2011 · 11 mos
Ameriprise Financial Services, INC.Broker
October 2000 - January 2011 · 10 yrs 3 mos
Ids Life Insurance CompanyBroker
October 2000 - July 2006 · 5 yrs 9 mos
State Registrations17 states
AZCACTFLGAKYMAMEMNNHNJNYPARISCSDVA
AdvisorBrokerBoth

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.
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