Mark H. Close
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 Healy Close was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 2 firms and has passed the Series 65, Series 63, Series 55, 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
July 29, 2021 - January 2, 2025
OPPENHEIMER & CLOSE, INC.
April 19, 2005 - November 6, 2012
OPPENHEIMER & CLOSE, INC.
April 13, 2005 - October 1, 2013
OPPENHEIMER & CLOSE, INC.
October 23, 2002 - April 8, 2005
MML INVESTORS SERVICES, LLC
December 14, 1993 - October 25, 2001
OPPENHEIMER & CLOSE, INC.
Primary Firm SEC Registration
OPPENHEIMER & CLOSE, INC.
CRD#: 15168 / SEC#: 801-34964, 8-31756
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
Series 55
Date: 3/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
OPPENHEIMER & CLOSE, INC.
CRD#: 15168 / SEC#: 801-34964, 8-31756
Contact information
SEC notice filing (11 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OPPENHEIMER, CARL KIRBY | PRESIDENT, CEO, TREASURER, DIRECTOR | 3139451 |
| OPPENHEIMER, MARY CLOSE | SHAREHOLDER, DIRECTOR | 3139452 |
| OPPENHEIMER, PHILIP VICTOR | SHAREHOLDER, DIRECTOR | 353146 |
| CLOSE, MARK HEALY | SHAREHOLDER | 2414261 |
| KOLLER, JOHN JAY | SHAREHOLDER | 2400754 |
| POWELL, GABRIELA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY | 3220216 |
Regulatory assets under management
| Total Number of Accounts | 127 |
| AUM (Assets Under Management) | $ 78,685,080 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 07/29/2024 |
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.
