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MV

Mark Van Der Griend

WESTPAC CAPITAL MARKETS LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2319152
MV

Professional summary

Mark Van Der Griend, who also goes by Mark Vandergriend, is a registered financial professional currently at WESTPAC CAPITAL MARKETS LLC located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1993. Mark has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Vandergriend

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 Van Der Griend's 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

January 15, 2013 - Present

WESTPAC CAPITAL MARKETS LLC

Office #1: 390 Park Avenue 14th Floor, New York, NY 10022
BD
CRD#: 164763
NEW YORK, NY
Past

March 12, 2009 - June 25, 2010

MFR SECURITIES, INC.

BD
CRD#: 36308
NAPLES, FL
Past

April 22, 2008 - January 30, 2009

BLAYLOCK VAN, LLC

BD
CRD#: 145317
NEW YORK, NY
Past

January 9, 2003 - December 11, 2007

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

March 4, 2002 - January 6, 2003

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

BD
CRD#: 24074
NEW YORK, NY
Past

October 25, 2000 - March 1, 2002

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

August 27, 1993 - September 27, 2000

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/2002
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 7
Date: 8/26/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/5/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WESTPAC CAPITAL MARKETS LLC
WESTPAC CAPITAL MARKETS LLC

CRD#: 164763 / SEC#: , 8-69113

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
390 Park Avenue 14th Floor, New York, NY 10022
Mailing Address
390 Park Avenue 14th Floor, New York, NY 10022
Phone number
(212) 551-1800
Established
Delaware since 06/07/2012
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WESTPAC CAPITAL MARKETS HOLDING CORPORATIONMEMBER
BROWN, STUART JOHNBOARD MEMBER7382811
GLYNN, MICHAEL GERARDCHIEF FINANCIAL OFFICER3219445
GORMAN, DENNISELECTED MEMBER6089133
LOGAN-POWELL, JACQUELINE KATEELECTED MEMBER7847135
MASOR, JEFFREY LAWRENCEAML OFFICER6500490
PORTES, SUSAN LIFSEYCHIEF COMPLIANCE OFFICER1925615
VAN DER GRIEND, MARKCEO, ELECTED MEMBER2319152

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

WESTPAC CAPITAL MARKETS LLC

CRD#: 164763New York, NY 10022

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