Unclaimed Profile

Mark Francis Sommer

STONEGATE INVESTMENT GROUP, LLC·BIRMINGHAM, Alabama

SIE, Series 7, Series 31, Series 63, Series 65Clean record27 years registeredSTONEGATE INVESTMENT GROUP, LLC

2005 STONEGATE TRAIL, BIRMINGHAM, AL 35242CRD# 2525917Firm CRD# 314889

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Francis Sommer · BIRMINGHAM, AL

Registration

CRD #2525917 · STONEGATE INVESTMENT GROUP, LLC · 27 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: STONEGATE INVESTMENT GROUP, LLC

STONEGATE INVESTMENT GROUP, LLC

Jul 2021 – Nov 2022

BIRMINGHAM, AL

UBS FINANCIAL SERVICES INC.

Sep 2007 – Jul 2021

BIRMINGHAM, AL

CITIGROUP GLOBAL MARKETS INC.

Dec 1998 – Sep 2007

BIRMINGHAM, AL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 31

Series 63

Series 65

Registration record

First registered · December 8, 1998

Years registered · 27

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

STONEGATE INVESTMENT GROUP, LLC

CRD 314889 · SEC 801-121509

AUM

$4.6B

Regulatory assets under management

Employees

2,572 client accounts

Services offered by STONEGATE INVESTMENT GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at STONEGATE INVESTMENT GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does Mark Francis Sommer offer?

Mark Francis Sommer specializes in Financial Planning, Investment Management, Retirement Planning.

What are Mark Francis Sommer's credentials?

Mark Francis Sommer is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Mark Francis Sommer located?

Mark Francis Sommer is based in BIRMINGHAM, Alabama, last registered with STONEGATE INVESTMENT GROUP, LLC.

How does Mark Francis Sommer charge for services?

Mark Francis Sommer's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is STONEGATE INVESTMENT GROUP, LLC?

STONEGATE INVESTMENT GROUP, LLC has approximately 13 employees and manages $4.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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