Mark P. Guthrie
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 Pardee Guthrie was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 4 firms and has passed the Series 65, Series 63, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2014 - December 31, 2020
WESTFACE FINANCIAL ADVISORY
May 6, 2008 - December 31, 2013
ON INVESTMENT MANAGEMENT CO
October 29, 2007 - December 31, 2013
THE O.N. EQUITY SALES COMPANY
April 19, 1993 - October 5, 1993
CRUM & FORSTER CUSTOM SECURITIES, INC.
March 22, 1988 - January 23, 1991
CRUM & FORSTER CUSTOM SECURITIES, INC.
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
WESTFACE FINANCIAL ADVISORY
CRD#: 168959 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 163 |
| AUM (Assets Under Management) | $ 32,469,142 |
Red Flags
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