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GM

Gary Mobley

LOOP CAPITAL MARKETS LLC
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 2741558
GM

Professional summary

Gary Mobley, who also goes by Gary Wade Mobley, is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in Chicago, Illinois.

Gary is registered as a RR (Registered Representative) and started their career in finance in 2003. Gary has worked at 7 firms and has passed the Series 63, Series 65, Series 52TO, Series 22TO, Series 82TO, Series 99TO, SIE, Series 87, Series 86 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gary Wade Mobley

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 Gary Mobley's CRS (Customer Relationship Summary).
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

September 30, 2024 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 425 S. Financial Place Ste 2700, Chicago, IL 60605
RIA
BD
CRD#: 43098
Chicago, IL
Past

March 26, 2019 - October 4, 2024

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
St. Louis, MO
Past

January 28, 2010 - May 7, 2019

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
ST LOUIS, MO
Past

March 6, 2009 - January 22, 2010

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
ST LOUIS, MO
Past

December 4, 2007 - December 19, 2008

PIPER SANDLER & CO.

BD
CRD#: 665
CLAYTON, MO
Past

August 19, 2005 - December 3, 2007

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

April 11, 2003 - August 25, 2005

B. RILEY & CO., LLC

BD
CRD#: 40355
LOS ANGELES, CA

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: 4/11/2003
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/1/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
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 87
Date: 3/2/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 11/17/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 4/8/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LC
LOOP CAPITAL MARKETS LLC
LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois
Registered Investment Advisory firm - SEC (4/4/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Phone number
(312) 913-4900
Established
Delaware since 06/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
250

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LOOP CAPITAL, LLCOWNER
BERKELEY, STEPHEN SIDNEYREGULATORY COUNSEL AND CCO5616433
LUPKIN, IRA ADAMCHIEF FINANCIAL OFFICER4463446
REYNOLDS, JAMES JR.CHIEF EXECUTIVE OFFICER1162337
SULLIVAN, ANTHONYCHIEF OPERATING OFFICER5995264

Disclosures

Regulatory Event8

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

LOOP CAPITAL MARKETS LLC

CRD#: 43098Chicago, IL 60605

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