Disclosures
Disclosures
Affiliations, compensation, outside business activities, and supervision — with the Form CRS, Form ADV, and BrokerCheck records they come from. Verify any of it independently at FINRA BrokerCheck or the SEC's Investment Adviser Public Disclosure site.
Mark W. Karstrom is a Registered Representative of Realta Equities, Inc. and an Investment Advisory Representative of Realta Investment Advisors, Inc. Neither Realta Equities, Inc. nor Realta Investment Advisors, Inc. is affiliated with Mark W Karstrom Wealth Management. Investment Advisory Services are offered through Realta Investment Advisors, Inc., a US SEC Registered Investment Advisor, and securities are offered through Realta Equities, Inc., Member FINRA/SIPC, 1201 N. Orange St., Suite 729, Wilmington, DE 19801.
Realta Wealth is the trade name for the Realta Wealth Companies. The Realta Wealth Companies are Realta Equities, Inc., Realta Investment Advisors, Inc., and Realta Insurance Services, which consist of several affiliated insurance agencies.
Chicago based. Serving clients nationwide by appointment.
- Disciplinary history
- There are no legal or disciplinary events to disclose. Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary event that would be material to your evaluation of a supervised person providing investment advice. Verify independently at FINRA BrokerCheck or the SEC's Investment Adviser Public Disclosure site.
- Brokerage activities
- Mark is licensed to sell securities through Realta Equities, Inc., a FINRA-registered securities broker/dealer, and may be involved in the sale of securities, mutual funds, and variable products. If an advisory client implements a recommendation by purchasing products through the broker/dealer, Mark receives additional compensation in the form of commissions, including 12b-1 fees. Approximately 10% of his professional time is spent in this capacity.
- Insurance activities
- Mark is a licensed insurance agent in multiple states and may recommend insurance products to advisory clients, for which he is paid a commission. Approximately 5% of his time is spent in this capacity.
- Other business activity
- Aside from the activities described above, Mark receives no economic benefit from any non-client third party.
- Supervision
- Advisory activities, personal investing activities, and adherence to the compliance program and code of ethics are monitored on a continuous basis by the Chief Compliance Officer and designated supervisors, including periodic inspection of client positions and transaction activity and review of brokerage statements and holdings reports.
This website does not constitute an offer to sell or a solicitation of an offer to buy any security, nor is it investment, legal, or tax advice. Investing involves risk, including the possible loss of principal. Past performance is not indicative of future results. No advice may be rendered until a client agreement is executed.
Offerings referenced on this site, including Delaware Statutory Trust investments, are made only to accredited investors pursuant to Regulation D, Rule 506, via confidential Private Placement Memorandum. DST investments are speculative investments and involve substantial risk, including illiquidity, lack of a public market, and the possible loss of the entire investment, and are suitable only for accredited investors.
Mark holds the Series 7 (General Securities Representative) and Series 66 (Uniform Combined State Law) registrations, held through Realta Equities, Inc. and Realta Investment Advisors, Inc., and is a licensed insurance agent in multiple states. Registration and licensing status by jurisdiction can be verified at FINRA BrokerCheck.
Biographical and disclosure information above reflects the Form ADV Part 2B brochure supplements dated February 15, 2023 and February 14, 2025. The current Form ADV and Form CRS for each firm are linked below and are always the operative version.
Public record
Every registration described on this site is a matter of public record. The filings below are published by the SEC and FINRA and are always the current version.
Mark W. Karstrom
Investment Advisory Representative and Registered Representative
CRD #1322744
Realta Investment Advisors, Inc.
US SEC Registered Investment Advisor — the advisory affiliation
CRD #134952 · SEC #801-68000
Realta Equities, Inc.
Broker/dealer, member FINRA/SIPC — the brokerage affiliation
CRD #23769 · SEC #8-40822
Registration does not imply any level of skill or training.