Mark Philpott
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 Philpott, who also goes by Mark K Philpott, Mark Kendrick Philpott, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2024 - July 21, 2026
WESBANCO SECURITIES, INC.
August 26, 2024 - July 21, 2026
WESBANCO SECURITIES, INC.
May 14, 2024 - August 22, 2024
FIFTH THIRD SECURITIES, INC.
May 14, 2024 - August 22, 2024
FIFTH THIRD SECURITIES, INC.
August 10, 2021 - May 6, 2024
WESBANCO SECURITIES, INC.
August 10, 2021 - May 6, 2024
WESBANCO SECURITIES, INC.
May 29, 2020 - July 20, 2021
CUNA BROKERAGE SERVICES, INC.
May 29, 2020 - July 20, 2021
CUNA BROKERAGE SERVICES, INC.
August 26, 2019 - May 18, 2020
WESBANCO SECURITIES, INC.
August 26, 2019 - May 18, 2020
WESBANCO SECURITIES, INC.
November 8, 2017 - October 26, 2018
PNC WEALTH MANAGEMENT LLC
November 8, 2017 - October 26, 2018
PNC WEALTH MANAGEMENT LLC
December 14, 2011 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
January 4, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
June 1, 1996 - November 13, 2009
NATCITY INVESTMENTS, INC.
May 27, 1994 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
March 14, 1989 - June 1, 1996
NATIONAL CITY INVESTMENTS CORPORATION
May 10, 1988 - August 30, 1988
J.J.B. HILLIARD, W.L. LYONS, LLC
Primary Firm SEC Registration
WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
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
WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
Contact information
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.
