Unclaimed Profile

Mark Warren Spelts

SPELTS WEALTH MANAGEMENT, INC·CHICO, California

SIE, Series 7, Series 9, Series 10, Series 6324 years registeredSPELTS WEALTH MANAGEMENT, INC

901 BRUCE ROAD, CHICO, CA 95928CRD# 1802111Firm CRD# 158321

Profile Verification

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

Identity

Mark Warren Spelts · CHICO, CA

Registration

CRD #1802111 · SPELTS WEALTH MANAGEMENT, INC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SPELTS WEALTH MANAGEMENT, INC

SPELTS WEALTH MANAGEMENT, INC

Sep 2012 – Sep 2025

CHICO, CA

LPL FINANCIAL LLC

Jul 2002 – Oct 2015

CHICO, CA

MERRILL LYNCH PIERCE FENNER & SMITH INC.

Mar 2002 – Jul 2002

CHICO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 63

Registration record

First registered · March 12, 2002

Years registered · 24

Disclosure History

2010Customer Dispute·Settled

2009Customer Dispute·Settled

2005Customer Dispute·Denied

2002Customer Dispute·Settled

2001Customer Dispute·Settled

1972Criminal·Final Disposition

9 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SPELTS WEALTH MANAGEMENT, INC

CRD 158321 · SEC 801-96318

AUM

$52M

Regulatory assets under management

Employees

343 client accounts

Services offered by SPELTS WEALTH MANAGEMENT, INC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

View all advisors at SPELTS WEALTH MANAGEMENT, INC →

Introduction

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Frequently Asked Questions

What services does Mark Warren Spelts offer?

Mark Warren Spelts specializes in Investment Management, Wealth Management.

What are Mark Warren Spelts's credentials?

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

Where is Mark Warren Spelts located?

Mark Warren Spelts is based in CHICO, California, last registered with SPELTS WEALTH MANAGEMENT, INC.

How does Mark Warren Spelts charge for services?

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

How large is SPELTS WEALTH MANAGEMENT, INC?

SPELTS WEALTH MANAGEMENT, INC has approximately 2 employees and manages $52M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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