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MW

Mark L. Wiehe

THE HUNTINGTON INVESTMENT COMPANY
CINCINNATI, OH 45202
Some features on this profile are disabled
CRD#: 2547166
MW

Professional summary

Mark Louis Wiehe, who also goes by Mark Wiehe, is a registered financial professional currently at THE HUNTINGTON INVESTMENT COMPANY located in Cincinnati, Ohio and HUNTINGTON SECURITIES, INC. located in Cleveland, Ohio.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1994. Mark has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Wiehe

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 Louis Wiehe'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

December 13, 2017 - Present

THE HUNTINGTON INVESTMENT COMPANY

Office #1: Cincinnati Main 525 Vine Street, Cincinnati, OH 45202Office #2: Home Office Ops Osj - 41 South High 41 South High Street 4th Floor, Columbus, OH, 43215
RIA
BD
CRD#: 16986
CINCINNATI, OH
Current

October 22, 2019 - Present

HUNTINGTON SECURITIES, INC.

Office #1: 200 Public Square 6th Floor, Cleveland, OH 44114
BD
CRD#: 2261
Cleveland, OH
Current

August 7, 2022 - Present

CAPSTONE PARTNERS

Office #1: 10 Post Office Square Suite 800n, Boston, MA 02109
BD
CRD#: 132185
BOSTON, MA
Past

October 20, 2004 - January 26, 2007

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY
Past

May 9, 2003 - May 12, 2004

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

August 21, 2000 - September 10, 2001

BANC ONE CAPITAL MARKETS, INC.

BD
CRD#: 23065
CHICAGO, IL
Past

October 12, 1994 - August 24, 2000

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL

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
Ohio
(10/22/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 1/14/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/6/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/21/1995
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CAPSTONE PARTNERS
CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS

CRD#: 132185 / SEC#: , 8-66572

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

Main Address
10 Post Office Square Suite 800n, Boston, MA 02109
Mailing Address
10 Post Office Square Suite 800n, Boston, MA 02109
Phone number
(617) 619-3300
Established
Delaware since 04/08/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CAPSTONE CORPORATE FINANCE LLCDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
CASPER, MARK VERNON JR.CHIEF FINANCIAL OFFICER6682711
DAHLKE, STEPHEN MATTHEWCHIEF COMPLIANCE OFFICER2577928
FERRARA, JOHN MARIO IIPRESIDENT2097226
JANSON, PAUL EDWARDDIRECTOR4992234
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISEXECUTIVE MANAGING DIRECTOR6419334
VALDIVIA, SERENAAML OFFICER7790899

Disclosures

Regulatory Event1

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

CAPSTONE PARTNERS

CRD#: 132185Cincinnati, OH 45202

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