Mark Thomas Whaley
Professional Summary
Mark Thomas Whaley was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1982 - 2020. Mark had worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 3, Series 7, Series 4, Series 10, Series 9, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
FREEDOM INVESTMENTS, INC.
Contact Information
Established
Delaware since 11/17/1994Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OPPENHEIMER & CO. INC. | PARENT COMPANY | 249 |
| GIORDANO, PETER JOHN | CEO-PRESIDENT-DIRECTOR | 2921308 |
| GIORDANO, PETER JOHN | CHIEF COMPLIANCE OFFICER | 2921308 |
| LOWENTHAL, ALBERT GRINSFELDER | DIRECTOR | 313519 |
| LOWENTHAL, ROBERT STEVEN | DIRECTOR | 1639913 |
| MATTRELLA, CHRISTIAN GENTILE | SVP & CHIEF FINANCIAL OFFICER | 4088299 |
| MCKIGNEY, BRYAN EDWARD | DIRECTOR | 4293175 |
| MCNAMARA, DENNIS PATRICK | SVP & SECRETARY | 2938486 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2004About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jun 2004About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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