MP
Mark Philpott
WESBANCO SECURITIES
Sheperdsville, KY 40165
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CRD#: 1611585
MP
Professional summary
Mark Philpott, who also goes by Mark K Philpott, Mark Kendrick Philpott, is a registered financial advisor currently at WESBANCO SECURITIES, INC. located in Sheperdsville, Kentucky.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark K Philpott | Mark Kendrick Philpott
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.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Philpott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Philpott'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
August 26, 2024 - Present
WESBANCO SECURITIES, INC.
Office #1: 395 N Buckman St, Sheperdsville, KY 40165RIA
BD
CRD#: 43276
Sheperdsville, KY
Current
August 26, 2024 - Present
WESBANCO SECURITIES, INC.
Office #1: 395 N Buckman St, Sheperdsville, KY 40165RIA
BD
CRD#: 43276
Sheperdsville, KY
Past
May 14, 2024 - August 22, 2024
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
Louisville, KY
Past
May 14, 2024 - August 22, 2024
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
Louisville, KY
Past
August 10, 2021 - May 6, 2024
WESBANCO SECURITIES, INC.
RIA
CRD#: 43276
Mount Washington, KY
Past
August 10, 2021 - May 6, 2024
WESBANCO SECURITIES, INC.
BD
CRD#: 43276
Mount Washington, KY
Past
May 29, 2020 - July 20, 2021
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Bardstown, KY
Past
May 29, 2020 - July 20, 2021
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Bardstown, KY
Past
August 26, 2019 - May 18, 2020
WESBANCO SECURITIES, INC.
RIA
CRD#: 43276
Frankfort, KY
Past
August 26, 2019 - May 18, 2020
WESBANCO SECURITIES, INC.
BD
CRD#: 43276
Frankfort, KY
Past
November 8, 2017 - October 26, 2018
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LOUISVILLE, KY
Past
November 8, 2017 - October 26, 2018
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LOUISVILLE, KY
Past
December 14, 2011 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LOUISVILLE, KY
Past
November 13, 2009 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LOUISVILLE, KY
Past
January 4, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
June 1, 1996 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
May 27, 1994 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
March 14, 1989 - June 1, 1996
NATIONAL CITY INVESTMENTS CORPORATION
BD
CRD#: 17365
Past
May 10, 1988 - August 30, 1988
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
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".
WS
WESBANCO SECURITIES, INC.
COMMBANC INVESTMENTS, INC. | WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
RIA
Registered Investment Advisory firm - SEC (12/8/2020 Approved)Indiana
Registered Investment Advisory firm - SEC (1/8/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/22/2020 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)West Virginia
Registered Investment Advisory firm - SEC (12/31/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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
Indiana(8/26/2024)
RR
Kentucky(8/26/2024)
IAR
Kentucky(8/26/2024)
RR
Ohio(8/26/2024)
RR
West Virginia(11/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WS
WESBANCO SECURITIES, INC.
COMMBANC INVESTMENTS, INC. | WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
RIA
Registered Investment Advisory firm - SEC (12/8/2020 Approved)Indiana
Registered Investment Advisory firm - SEC (1/8/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/22/2020 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)West Virginia
Registered Investment Advisory firm - SEC (12/31/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
135 West Main St, St Clairsville, OH 43950
Mailing Address
1 Bank Plaza, Wheeling, WV 26003
Phone number
(304) 905-7215
Established
Ohio since 10/03/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
100
SEC notice filing (25 States and Territories)
FINRA licenses (28 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESBANCO INC. | OWNER | |
| CONNER, JAMES LEROY | FINOP | 5339285 |
| GARDILL, JAMES C | COUNSEL | |
| JACKSON, JEFF | DIRECTOR | 7692472 |
| LOVE, SCOTT ALAN | DIRECTOR | 2854247 |
| LUZAR, JAY MICHAEL | DIRECTOR | |
| PERKINS, MICHAEL L | DIRECTOR | 7531438 |
| STAVSKY, LISA FINKELSTEIN | DIRECTOR - MANAGING DIRECTOR/PRESIDENT/CEO | 1749197 |
| WILSON, ROSE LYNN | CCO, MANAGING DIRECTOR OF COMPLIANCE & DIRECTOR | 4072715 |
| ZATTA, JAY | DIRECTOR | 7693273 |
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 166,458,070 |
Disclosures
| Regulatory Event | 1 |
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
WESBANCO SECURITIES, INC.
CRD#: 43276Sheperdsville, KY 40165TRUST BUT VERIFY
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