Expert Review

Mark Schulten: Is He Charged by FINRA or not? Let’s Exposed! (Update 2023)

Who is Mark Schulten (CRD#: 1879841)?

Mark Schulten is a Managing Partner at TSG Wealth Management and has been assisting high net-worth investors in achieving their financial objectives since 1984. Mark received his CERTIFIED FINANCIAL PLANNER™  (CFP®) credential in 1990 after graduating from UCLA with a degree in economics.

Mark Schulten co-founded The Schulten Group with his father, Warren Schulten, in 1992. In 2019, he and his team rebranded and extended their business to become TSG Wealth Management. He also serves as a trustee for the Earl B. and Loraine H. Miller Foundation, which has given more than $50 million to organizations that promote the health and well-being of children in need.

This article will go further into Mark Schulten’s past, uncovering hidden disclosures and SEC litigations, as well as analyzing the implications for law.

About TSG Wealth Management

TSG Wealth Management is an institution of finance that provides investment planning, business consulting, estate and insurance planning, and other services. TSG Wealth Management’s team’s mission is to prioritize the interests of their clients, and their business advising division covers areas that are frequently overstressed in the firm. TSG has you covered by concentrating on three critical verticals that frequently do not receive the attention to detail required in the day-to-day work environment.

Its advisors claim that they frequently collaborate with their client’s existing advisors to provide total integration and smooth management of their financial picture. They also have ties with a wide range of Certified Public Accountants (CPAs), Attorneys, and Pension Plan Administrators (TPAs) that they can call on as needed.

TSG Wealth Management Services

TSG Wealth Management provides a range of wealth management services to fit clients’ goals and needs. Their founding principle was, and continues to be, to put client interests above all, with a goal to consistently exceed expectations. The following are some of the TSG services:

  • Investment / Retirement Planning
  • Business Advisory
  • Insurance and Annuity
  • Family Matters
  • Estate Planning Strategies
  • Access to Lending Services
  • Sports and Entertainment Services

Mark Schulten Disclosures: BrokerCheck, FINRA, And SEC

BrokerCheck report of Mark Schulten includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosures events.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.



SEC Litigations & Forms

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Mark Schulten Lawsuits

Most court cases filed in the United States of America are archived on CourtListener, UniCourt,, Justia,, and Law360. If Mark Schulten has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against Mark Schulten that are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Mark Schulten on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

Mark Schulten Complaints and Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Mark Schulten using the websites down below:

Better Alternatives To Mark Schulten:

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Manages Assets Worth

  • $6,427,792,177


  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
Screenshot 8

Manages Assets Worth

  • $4,465,757,285


  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
Screenshot 9

Manages Assets Worth

  • $302,000,000


  • Financial planning
  • Portfolio management

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