Mark T. Whaley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Thomas Whaley was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1982. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2008 - January 22, 2020
FREEDOM INVESTMENTS, INC.
April 2, 2008 - April 7, 2025
OPPENHEIMER & CO. INC.
April 2, 2008 - April 7, 2025
OPPENHEIMER & CO. INC.
September 30, 2005 - April 9, 2008
J.P. MORGAN SECURITIES LLC
June 15, 2005 - April 9, 2008
J.P. MORGAN SECURITIES LLC
June 4, 2002 - March 31, 2005
RBC CAPITAL MARKETS, LLC
March 9, 2002 - March 31, 2005
RBC CAPITAL MARKETS, LLC
September 1, 1999 - March 9, 2002
TUCKER ANTHONY INCORPORATED
March 1, 1982 - September 1, 1999
GIBRALTAR SECURITIES CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
FREEDOM INVESTMENTS, INC.
CRD#: 37674 / SEC#: , 8-47883
Contact information
FINRA licenses (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OPPENHEIMER & CO. INC. | PARENT COMPANY | 249 |
| GIORDANO, PETER JOHN | CEO-PRESIDENT-DIRECTOR | 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 |
| SANTIAGO, MANUEL ANGEL | VP & CHIEF COMPLIANCE OFFICER | 1987936 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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