Mark Rauguth has been Managing Member/Chief Compliance Officer of Immaculate Wealth Management since April 2013, is a control person of the firm and directly owns 75% or more of it. Mark Rauguth holds a B.A. in Business Administration and Finance from the University of Wisconsin-Milwaukee.
Immaculate Wealth Management, LLC is a Mesa, AZ firm with $141M under management, 576 clients and 2 advisers in one office, as of its March 2026 filing.
Mark E. Rauguth is Managing Member of Immaculate Wealth Management, LLC, the firm he founded in Mesa, Arizona in 2013. He has more than 30 years of experience in financial planning, investment management, retirement planning, and estate planning. He began his career in 1986 at American Express Financial Advisors as a registered representative, and in 1997 became an investment adviser and branch manager with Raymond James Financial Services.
Mark Rauguth’s longest registration is the current one, 13 years at Immaculate Wealth Management since 2013. Before joining Immaculate Wealth Management in 2013, Mark Rauguth was registered through Raymond James Financial Services Advisors, Inc.
- – present · 13 yearsMesa, AZ · Adviser representative · Firm CRD 167657
- Raymond James Financial Services Advisors, Inc– · 3 yearsMesa, AZ · Adviser representative · Firm CRD 149018
Professional designations
Listed by Immaculate Wealth Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Mark Rauguth is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in May 2013.
- ArizonaSince 16 May 2013
- TexasResidentSince 8 May 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 51 | Municipal Fund Securities Principal Examination | 20 June 2003 |
| Series 65 | Uniform Investment Adviser Law Examination | 1 October 1998 |
| Series 24 | General Securities Principal Examination | 15 November 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 October 1986 |
| Series 7 | General Securities Representative Examination | 18 October 1986 |
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Mark Edward Rauguth
- CRD
- 1564114
- Firm
- Immaculate Wealth Management · CRD 167657
- Role
- Managing Member/Chief Compliance Officer
- Office
- 2500 S. POWER ROAD, SUITE 111, Mesa, AZ 85209
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 1986
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- immaculatewealth.com
Where does Mark Rauguth work?
Mark Rauguth has been Managing Member/Chief Compliance Officer of Immaculate Wealth Management, LLC since April 2013, and is a control person of the firm.
Is Mark Rauguth a financial advisor?
Yes. Mark Rauguth has a current investment-adviser registration in Arizona and Texas, through Immaculate Wealth Management since May 2013.
How many years of experience does Mark Rauguth have?
Mark Rauguth has 39 years in the financial industry, since December 1986, across 2 adviser firms.
What exams has Mark Rauguth passed?
Mark Rauguth has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 65 and Series 51. The earliest, the Series 7, was passed in October 1986. FINRA credited Mark Rauguth with the SIE, which began in October 2018.
Where did Mark Rauguth work before Immaculate Wealth Management?
Before Immaculate Wealth Management, Mark Rauguth was registered through Raymond James Financial Services Advisors, Inc, April 2009 to March 2013.
Where is Mark Rauguth based?
Mark Rauguth’s registered office is in Mesa, AZ.
Is Mark Rauguth registered with FINRA?
Yes. Mark Rauguth has a current broker registration, under CRD 1564114.
Source: FINRA BrokerCheck
Is Mark Rauguth a CFP?
Immaculate Wealth Management lists Mark Rauguth with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Mark E. Rauguth, CFP® biography, immaculatewealth.com
How can I verify Mark Rauguth’s record?
Search CRD 1564114 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Mark Rauguth’s full registration record.