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Connecticut Five Star award winner

PROFESSIONAL ACCOMPLISHMENTS

AWARDS

  • Five Star Wealth Manager award winner 2012-2019

ACCREDITATIONS

  • CERTIFIED FINANCIAL PLANNER™ professional
  • MBA

 

Mark began his career in the New Haven office of Merrill Lynch. After earning the CFP® professional designation, he left Merrill Lynch to partner with Daryl at Brook Wealth Management. He is responsible for guiding his clients through the Brook Wealth Management Process. This includes the creation and implementation of a financial plan that encompasses the principles of wealth building, risk management, tax planning, estate planning and retirement planning. 

He is a CFP® professional and is Series 7 and 66 registered with LPL Financial. He holds insurance and annuity licenses in several states. Mark is a Registered Representative with and securities and advisory services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC. This allows for more flexibility when dealing with local clients, business owners and nonprofit organizations.

Mark is a graduate of Duke University with a Bachelor of Science in Computer Science and holds a Master of Business Administration from Columbia University. Additionally, Mark holds a Master of Fine Arts from New York University’s Tisch School of the Arts.

Mark resides in Madison with his wife, Tammy, and their two sons, Caleb and Luke.

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Mark Fezza is a Registered Representative with and securities and advisory services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC.

*Winners appearing on this page do not pay a fee to be considered or to win the Five Star Award. Professionals with a digital profile have paid a promotional fee.
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 3,147 Connecticut area wealth managers were considered for the award; 289 (9 percent of candidates) were named 2019 Five Star Wealth Managers. 2018: 3,178 considered, 293 winners; 2017: 2,218 considered, 283 winners; 2016: 1,985 considered, 417 winners; 2015: 2,398 considered, 468 winners; 2014: 3,926 considered, 515 winners; 2013: 2,263 considered, 531 winners; 2012: 2,204 considered, 503 winners.