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RIA / WealthAdvisorChartered Financial Analyst16 years in industry

MARK STEVEN WERNER

Advisor at LPL FINANCIAL LLC

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:1a6a7733-ccda-a067-ece2-e2f8398ca205

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Sep 27, 2017 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S66
First exam: Sep 26, 2017
First registration: Sep 27, 2017
Dual registered: no
Other names: Mark Werner
IAPD individual key: 6812128

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 25, 2026	n/a	yes	WALNUT CREEK, CA	Current employment
LAFFER TENGLER INVESTMENTS, INC.	Independent wealth	Mar 4, 2025	Jan 13, 2026	no	Scottsdale, AZ	Previous registration
DEFINED PURPOSE CAPITAL LLC	Former SEC adviser	Jul 22, 2024	Nov 18, 2024	no	BERKELEY HEIGHTS, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 27, 2017	Dec 11, 2018	no	WALNUT CREEK, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LAFFER TENGLER INVESTMENTS, INC.	LPL FINANCIAL LLC	Jan 13, 2026	Aug 25, 2026	224	Firm change	RIA to ibd
DEFINED PURPOSE CAPITAL LLC	LAFFER TENGLER INVESTMENTS, INC.	Nov 18, 2024	Mar 4, 2025	106	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	DEFINED PURPOSE CAPITAL LLC	Dec 11, 2018	Jul 22, 2024	2,050	Firm change after gap	Wirehouse to new firm

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 25, 2026 to presentfactForm ADV
→ LAFFER TENGLER INVESTMENTS, INC.Registered adviserregistration: previous registration
Mar 4, 2025 to Jan 13, 2026factForm ADV
→ DEFINED PURPOSE CAPITAL LLCRegistered adviserregistration: previous registration
Jul 22, 2024 to Nov 18, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 27, 2017 to Dec 11, 2018factForm ADV

Dated events

Occurred
Jan 13, 2026
Advisor changed firm
Mark Steven Werner left Laffer Tengler Investments, Inc. for Lpl Financial Llc (registered 2026-08-25)
Form ADVobserved 4 days ago
Occurred
Nov 18, 2024
Advisor changed firm
Mark Steven Werner left Defined Purpose Capital Llc for Laffer Tengler Investments, Inc. (registered 2025-03-04)
Form ADVobserved 4 days ago