Mark S. Cook
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 Steven Cook, who also goes by Mark S Cook, Mark Steven Cook, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 27, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2018 - March 8, 2019
W&S BROKERAGE SERVICES, INC.
May 14, 2018 - June 29, 2018
SECURE INVESTMENT MANAGEMENT, LLC
April 22, 2015 - February 8, 2017
HARRISDIRECT LLC
April 20, 2015 - February 8, 2017
E*TRADE SECURITIES LLC
October 17, 2012 - October 7, 2014
HSBC SECURITIES (USA) INC.
October 17, 2012 - October 7, 2014
HSBC SECURITIES (USA) INC.
June 20, 2007 - February 3, 2012
HARRISDIRECT LLC
June 26, 2006 - February 3, 2012
E*TRADE SECURITIES LLC
July 8, 2005 - June 16, 2006
ANALYTIX CAPITAL,INC
October 15, 2004 - July 6, 2005
SOURCE CAPITAL MANAGEMENT
September 29, 2004 - June 29, 2006
SOURCE CAPITAL GROUP, INC.
July 14, 1999 - March 2, 2004
CHARLES SCHWAB & CO., INC.
January 30, 1998 - December 21, 1999
NAVILLUS SECURITIES, INC.
June 23, 1995 - December 3, 1996
UBS FINANCIAL SERVICES INC.
July 18, 1994 - March 16, 1995
L.C. WEGARD & CO., INC.
Primary Firm SEC Registration
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
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
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
Contact information
SEC notice filing (33 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY | OWNER | |
| BRODIE, TROY DALE | PRESIDENT | 1924559 |
| DELUCA, JAMES JOSEPH | VP, MARKETING | 5420948 |
| HERRON, SARAH SPARKS | CORPORATE SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | TREASURER | 6607547 |
| LOVELESS, MATTHEW WILLIAM | VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION | 5657647 |
| LUEBBE, GREGORY MICHAEL | ASSISTANT VICE PRESIDENT | 2924719 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOURNE, DOUGLAS EDWARD | AVP, BROKERAGE OPERATIONS | 2999021 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE OFFICER | 1327230 |
| WIEDENHEFT, TERRIE ANN | SENIOR VICE PRESIDENT AND CFO | 2619213 |
| WITTMAN, SCOTT JOSEPH | VP TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Regulatory assets under management
| Total Number of Accounts | 655 |
| AUM (Assets Under Management) | $ 175,814,665 |
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.
