AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MV

Mark W. Viklund

H.C.WAINWRIGHT & CO.
New York, NY 10022
Some features on this profile are disabled
CRD#: 1995158
MV

Professional summary

Mark William Viklund, who also goes by None, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1994. Mark has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark William Viklund's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 15, 2013 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022
BD
CRD#: 375
New York, NY
Past

September 18, 2012 - April 17, 2013

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

August 13, 2012 - September 14, 2012

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
NEW YORK, NY
Past

May 19, 2011 - March 7, 2012

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

October 20, 2004 - July 28, 2008

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
NEW YORK, NY
Past

October 14, 2002 - February 10, 2004

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
MEMPHIS, TN
Past

January 12, 2001 - May 3, 2002

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

November 18, 1999 - November 29, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 9, 1996 - October 5, 1999

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 15, 1996 - September 20, 1996

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 29, 1994 - May 6, 1996

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Florida
(6/3/2013)
RR
Massachusetts
(5/6/2013)
RR
New Mexico
(6/5/2013)
RR
New York
(4/15/2013)
RR
Texas
(6/5/2013)
RR
Virgin Islands
(12/11/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 6/3/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/18/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 6/28/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/29/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HCWHC INCSHAREHOLDER
KAPLAN, MARK ELIOTCEO2618079
KIRSCH, KENNETH JOHNCFO1671480
KIRSCH, KENNETH JOHNFINOP1671480
SILVERA, EDWARD DAVIDCHIEF OPERATIONS OFFICER6216348
YANOW, JONATHAN TODDCHIEF COMPLIANCE OFFICER6516303

Disclosures

Regulatory Event16

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

H.C.WAINWRIGHT & CO., LLC

H.C.WAINWRIGHT & CO., LLC

CRD#: 375New York, NY 10022

TRUST BUT VERIFY

Monitor Mark Viklund

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics