Mark S. Winthrop
WINTHROP WEALTH | President and Founding Partner
Denver, CO
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CRD#: 1351181
Professional summary
Mark Steven Winthrop, who also goes by Mark S Winthrop, is a registered financial advisor currently at WINTHROP WEALTH located in Denver, Colorado.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Mark has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Biography
Winthrop Wealth is an independent wealth advisory practice based in Boston. Winthrop provides wealth
planning, investment management, and tax and estate planning services for high net worth and ultra-
high net worth individuals, families, and business owners. The firm also offers retirement plan advice for
small- to medium-sized businesses, endowments, and other institutions. Winthrop is a family business
led by a deeply experienced, multi-generational team. With over 30 years experience, its professionals
have helped clients manage every aspect of their financial lives by providing fresh ideas, deep expertise,
stability, and unparalleled service. Winthrop Wealth is committed to its mission of helping clients live
life to the fullest.
Question & Answer
What are your service offerings?
Trading individual securities
Loans/credit services
Institutional consulting
Financial planning
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
Are you a "fiduciary"?
Yes
Aliases
Mark S Winthrop
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.
4/11/2018 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 04/09/2018 - 1 Hour Per Month/0 Hours During Securities Trading - Massachusetts Notary - Notary Public. 8/27/2019 - Highland Capital Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Started 08/22/2019 - 5 Hours Per Month/1 Hour During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Steven Winthrop's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 16, 2017 - Present
WINTHROP WEALTH
Office #2: 1400 Computer Drive Suite 105, Westborough, MA 01581RIA
CRD#: 288178
Denver, CO
Past
January 1, 1993 - January 8, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
WESTBOROUGH, MA
Past
June 30, 1992 - January 8, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTBOROUGH, MA
Past
August 14, 1990 - July 17, 1992
CANTON SECURITIES, INC.
BD
CRD#: 24680
Past
December 16, 1989 - August 20, 1990
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
September 30, 1986 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
BD
CRD#: 524
Past
March 20, 1985 - September 19, 1986
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
CRD#: 288178 / SEC#: 801-110461
RIA
Registered Investment Advisory firm - (4/28/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Colorado(4/2/2024)
IAR
Massachusetts(10/16/2017)
IAR
Texas(6/10/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
CRD#: 288178 / SEC#: 801-110461
RIA
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Contact information
Main Address
321 Columbus Ave 3rd Fl, Boston, MA 02116-5168
Mailing Address
Phone number
(617) 530-1010
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,872 |
| AUM (Assets Under Management) | $ 2,600,886,145 |
Red Flags
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Company Information
WINTHROP WEALTH
President and Founding PartnerCRD#: 288178Denver, COTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
