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Mark Applegarth

CFO at CWM

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Mark Applegarth is CFO of CWM, LLC, a Omaha investment adviser managing $50.6B. Mark Applegarth has a current broker registration and no current investment-adviser registration and has passed the Series 27, SIE and Series 99TO.

Role at CWM

Title on Schedule A
CFO
Control
Mark Applegarth is a control person of CWM.
Ownership
An individual ownership band is not available in the source record.
Tenure
Mark Applegarth has held the filed role since April 2024.

The firm

CWM, LLC
Omaha, NE

Form ADV filed 30 September 2026

$50.6B AUM52,669 clients472 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed SIE and Series 99TO · 2023
  2. Passed Series 27 · 2007

Registrations and exams

Broker registration; no current adviser registration. Mark Applegarth has passed 3 qualifying exams.

Examinations

Series 2722 January 2007
Name
Financial and Operations Principal Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination
Series 99TO2 January 2023
Name
Operations Professional Examination

Individual record

Full name
Mark Daniel Applegarth
CRD
5243868
Firm
CWM, LLC
Registration status
Broker registration; no current adviser registration
Firm bio
carsongroup.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Carson Group lists Daniel Applegarth as chief financial officer. Carson Group, leadership team

Common questions

Where does Mark Applegarth work?

Mark Applegarth has been CFO of CWM, LLC since April 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 September 2026

Does Mark Applegarth have a current investment-adviser registration?

Mark Applegarth has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Mark Applegarth passed?

Mark Applegarth has passed 3 licensing exams: the Series 27, SIE and Series 99TO. The earliest, the Series 27, was passed in January 2007.

Source: IAPD individual record, checked 18 October 2026

Leadership at CWM

Sources

  1. IAPD individual record, CRD 5243868. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of CWM, LLC, filed 30 September 2026. Title, control and ownership bands.
  3. CWM team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Mark Applegarth or CWM, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.