Mark S. Wood
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 Stephen Wood was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1989. Mark had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2015 - December 31, 2020
OPPENHEIMER & CO. INC.
April 7, 2015 - December 31, 2020
OPPENHEIMER & CO. INC.
October 17, 2014 - April 13, 2015
V WEALTH ADVISORS LLC
October 13, 2014 - April 17, 2015
LPL FINANCIAL LLC
August 31, 2012 - March 5, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 31, 2012 - March 5, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 18, 2009 - September 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 2009 - September 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2006 - September 23, 2009
UBS FINANCIAL SERVICES INC.
August 12, 2006 - September 23, 2009
UBS FINANCIAL SERVICES INC.
November 7, 2005 - August 12, 2006
PIPER SANDLER & CO.
November 7, 2005 - August 12, 2006
PIPER SANDLER & CO.
November 19, 1999 - November 8, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1998 - November 8, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 13, 1997 - January 1, 1998
NATIONSSECURITIES
April 2, 1993 - August 13, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
January 7, 1991 - April 21, 1993
PIPER SANDLER & CO.
December 8, 1989 - January 11, 1991
RODMAN & RENSHAW INC.
July 18, 1989 - December 12, 1989
ROBERT THOMAS SECURITIES, INC
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
Current Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR/DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 39,036 |
| AUM (Assets Under Management) | $ 36,710,705,748 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2026 | ||
| 01/24/2025 | ||
| 10/25/2023 |
Red Flags
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.
