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MH

Mark K. Hesterman

GLENDALE SECURITIES
Sherman Oaks, CA 91403
Some features on this profile are disabled
CRD#: 1537637
MH

Professional summary

Mark Kevin Hesterman is a registered financial professional currently at GLENDALE SECURITIES, INC. located in Sherman Oaks, California.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Kevin Hesterman's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 6, 2022 - Present

GLENDALE SECURITIES, INC.

Office #1: 15233 Ventura Blvd., Suite 712, Sherman Oaks, CA 91403
BD
CRD#: 123649
Sherman Oaks, CA
Past

March 13, 2017 - July 5, 2022

CAMBRIA CAPITAL, LLC

BD
CRD#: 133760
SALT LAKE CITY, UT
Past

January 14, 1998 - March 13, 2017

ALPINE SECURITIES CORPORATION

BD
CRD#: 14952
SALT LAKE CITY, UT
Past

December 20, 1993 - January 20, 1998

WILSON-DAVIS & CO., INC.

BD
CRD#: 3777
SALT LAKE CITY, UT
Past

September 1, 1993 - November 23, 1993

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
PORTLAND, OR
Past

February 10, 1988 - August 19, 1993

COVEY & CO., INC.

BD
CRD#: 4110
SALT LAKE CITY, UT
Past

July 23, 1986 - February 13, 1988

MAIN STREET SECURITIES, INC.

BD
CRD#: 8522

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(10/6/2022)
RR
Arizona
(7/7/2022)
RR
California
(7/29/2022)
RR
Florida
(8/10/2022)
RR
Illinois
(1/9/2025)
RR
Minnesota
(7/7/2022)
RR
Nevada
(7/20/2022)
RR
New Jersey
(10/7/2022)
RR
New York
(10/6/2022)
RR
Oklahoma
(10/27/2022)
RR
Oregon
(11/14/2023)
RR
Pennsylvania
(7/18/2022)
RR
South Carolina
(12/20/2022)
RR
Tennessee
(5/22/2024)
RR
Texas
(7/8/2022)
RR
Utah
(7/7/2022)
RR
Washington
(7/7/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/30/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/16/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/26/2000
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GS
GLENDALE SECURITIES, INC.
GLENDALE SECURITIES, INC.

CRD#: 123649 / SEC#: , 8-65604

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
15233 Ventura Blvd., Suite 712, Sherman Oaks, CA 91403
Mailing Address
15233 Ventura Blvd., Suite 712, Sherman Oaks, CA 91403
Phone number
(818) 907-1505
Established
California since 08/19/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BARBER, RICHARD WRIGHTSHAREHOLDER1298800
CASTILLO, GEORGE ALBERTOPRESIDENT, PRINCIPAL1936486
FLESCHE, PAUL ERICFINOP, CCO, PRINCIPAL, ROSFP, CFO, POO, PFO3277904
ABADIN, JOSE MIGUELSHAREHOLDER1273345
ROWE, CHRISTOPHER MICHAELAML COMPLIANCE OFFICER5562884
SHEN, QIUFANGSHAREHOLDER3158926

Disclosures

Regulatory Event6

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.

Company Information

GLENDALE SECURITIES, INC.

CRD#: 123649Sherman Oaks, CA 91403

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