Mark C. Waltos
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 C Waltos, who also goes by Mark Christopher Waltos, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2018 - January 2, 2020
CHIMERA SECURITIES, LLC
September 11, 1997 - June 16, 2017
WEEDEN & CO.L.P.
October 24, 1995 - August 15, 1997
NASH, WEISS & CO.
January 13, 1995 - September 15, 1995
TD AMERITRADE, INC.
February 22, 1994 - August 8, 1994
COMMONWEALTH ASSOCIATES
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: 3/29/1999
Limited Representative-Equity Trader ExamCurrent Firm
CHIMERA SECURITIES, LLC
CRD#: 147566 / SEC#: , 8-67915
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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