Mark E. Wren
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 Edward Wren was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2017 - December 31, 2023
STERN BROTHERS & CO.
October 11, 2017 - November 28, 2017
GREAT PACIFIC SECURITIES
August 18, 2014 - June 30, 2017
BOK FINANCIAL SECURITIES, INC.
January 21, 2011 - June 19, 2014
STERNE, AGEE & LEACH, INC.
May 23, 2005 - January 6, 2011
NOLLENBERGER CAPITAL PARTNERS INC.
November 1, 1993 - May 25, 2005
PIPER SANDLER & CO.
January 26, 1989 - November 27, 1993
BANCAL INVESTMENT SERVICES, INC.
February 25, 1987 - October 6, 1988
MIDLAND MONTAGU SECURITIES INC.
January 7, 1983 - September 26, 1985
GFC SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 1/20/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
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