Mark H. Baltimore
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 Harry Wellnitz Baltimore, who also goes by Mark Baltimore, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1991. Mark had worked at 13 firms and has passed the Series 63, SIE, 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
August 21, 2015 - December 15, 2016
FORESIDE FINANCIAL SERVICES, LLC
March 31, 2014 - June 16, 2015
CHARLES SCHWAB & CO., INC.
March 8, 2013 - March 18, 2013
BROOKFIELD PRIVATE ADVISORS LLC
November 6, 2012 - March 21, 2013
QUASAR DISTRIBUTORS, LLC
May 16, 2011 - April 5, 2012
NYLIFE DISTRIBUTORS LLC
March 16, 2011 - May 9, 2011
DESTRA CAPITAL INVESTMENTS LLC
March 28, 2006 - November 10, 2009
JANUS HENDERSON DISTRIBUTORS US LLC
September 17, 2004 - March 6, 2006
ALLIANCEBERNSTEIN INVESTMENTS, INC.
January 3, 1997 - March 1, 2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
January 1, 1996 - December 19, 1996
ADP BROKER-DEALER, INC.
May 27, 1994 - December 5, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
December 7, 1993 - November 15, 1995
NATIONAL CITY INVESTMENTS CORPORATION
November 21, 1991 - December 3, 1993
THE HUNTINGTON INVESTMENT COMPANY
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
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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