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Mark Dunn

LPL Financial LLC
20 Years of Experience
Castle Rock, CO
7 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Mark Dunn is a registered investment advisor at LPL Financial LLC, based in Castle Rock, CO, with 20 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 Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

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

Location

509 Wilcox Street, Suite 111, Castle Rock, CO, 80104

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History

Regulatory History (7)
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
August 2012
Denied
Customer Dispute
August 2011
Denied
Customer Dispute
March 2006
Settled
Customer Dispute
February 2006
Denied
Customer Dispute
October 2005
Denied
Employment Separation After Allegations
July 2005
Customer Dispute
March 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark is an insurance agent selling life insurance, fixed annuities, and health insurance, dedicating about 10-20% of his time to this. He is also the owner/managing partner of Apollo Strategic Advisors, LLC, a financial services firm, which takes nearly full-time hours.

Employment History
Current Registrations
LPL Financial LLCBroker
July 2026 - Present · 3 mos
LPL Financial LLC
July 2026 - Present · 3 mos
Previous Registrations
Lincoln Investment
November 2023 - July 2026 · 2 yrs 8 mos
Capital Analysts
November 2023 - July 2026 · 2 yrs 8 mos
Lincoln InvestmentBroker
October 2023 - July 2026 · 2 yrs 9 mos
VALIC Financial Advisors, INC.
November 2010 - November 2023 · 13 yrs
VALIC Financial Advisors, INC.Broker
July 2010 - November 2023 · 13 yrs 4 mos
American Express Financial Advisors, INC.
November 2000 - July 2005 · 4 yrs 8 mos
American Express Financial Advisors INC.Broker
November 2000 - July 2005 · 4 yrs 8 mos
Ids Life Insurance CompanyBroker
November 2000 - July 2005 · 4 yrs 8 mos
State Registrations13 states
ALAZCACOFLILNMNVTNUTVAWAWY
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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