Mark A. Walbeck
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 Anthony Walbeck, who also goes by Mark Walbeck, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 11 firms and has passed the Series 66, Series 63 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
February 8, 2006 - December 31, 2021
GTA ADVISORS
October 14, 2003 - December 31, 2004
LEGACY ADVISORY SERVICES, INC.
October 8, 2003 - December 31, 2004
LEGACY FINANCIAL SERVICES, INC.
February 18, 1998 - October 15, 2001
CHARLES SCHWAB & CO., INC.
January 6, 1998 - March 2, 1998
NYLIFE SECURITIES LLC
March 23, 1993 - May 5, 1997
GRIFFIN FINANCIAL SERVICES
February 25, 1992 - December 4, 1992
NEW ENGLAND SECURITIES
April 5, 1991 - November 20, 1991
EMMETT A LARKIN COMPANY, INC.
January 18, 1991 - March 8, 1991
IDS LIFE INSURANCE COMPANY
January 18, 1991 - March 8, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
December 22, 1987 - May 24, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
GTA ADVISORS
CRD#: 133834 / SEC#:
Contact information
Red Flags
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