Mark A. Wilterding
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 Albert Wilterding JR, who also goes by Mark Albert Wilterding, Mark Albert Wilterding Jr, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 3 firms and has passed the Series 63 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
August 26, 2010 - August 5, 2014
CREDIT SUISSE SECURITIES (USA) LLC
May 26, 2010 - August 9, 2010
CITIGROUP GLOBAL MARKETS INC.
June 1, 2009 - May 26, 2010
MORGAN STANLEY
June 17, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 25, 2005 - April 7, 2008
CITIGROUP GLOBAL MARKETS INC.
August 22, 2000 - May 17, 2004
CITIGROUP GLOBAL MARKETS INC.
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
Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
