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MW

Mark P. Walsh

WOLFE RESEARCH SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 3056648
MW

Professional summary

Mark Phillips Walsh is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in Chicago, Illinois.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Phillips Walsh'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

March 12, 2018 - Present

WOLFE RESEARCH SECURITIES

Office #1: 110 N Wacker Dr, Ste 25099, Chicago, IL 60606
BD
CRD#: 151850
Chicago, IL
Past

November 14, 2016 - March 9, 2018

INSTINET, LLC

BD
CRD#: 7897
CHICAGO, IL
Past

September 4, 2014 - November 14, 2016

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
CHICAGO, IL
Past

March 1, 2013 - June 13, 2014

CLSA AMERICAS, LLC

BD
CRD#: 165533
CHICAGO, IL
Past

December 3, 2012 - June 11, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
CHICAGO, IL
Past

January 18, 2011 - December 5, 2012

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
CHICAGO, IL
Past

July 10, 2010 - January 5, 2011

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
CHICAGO, IL
Past

February 24, 2000 - July 20, 2010

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
CHICAGO, IL
Past

August 30, 1999 - January 28, 2000

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA

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
Alabama
(1/13/2023)
RR
Alaska
(12/5/2023)
RR
California
(12/5/2023)
RR
Florida
(12/5/2023)
RR
Georgia
(12/5/2023)
RR
Illinois
(3/12/2018)
RR
Indiana
(3/12/2018)
RR
Iowa
(3/12/2018)
RR
Kansas
(3/12/2018)
RR
Michigan
(3/12/2018)
RR
Minnesota
(3/12/2018)
RR
Missouri
(3/12/2018)
RR
Nevada
(3/20/2024)
RR
New York
(3/12/2018)
RR
Ohio
(3/12/2018)
RR
Oregon
(12/5/2023)
RR
Washington
(12/5/2023)
RR
Wisconsin
(3/12/2018)
RR
Wyoming
(1/13/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/13/1999
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: 12/24/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WR
WOLFE RESEARCH SECURITIES
WOLFE CAPITAL MARKETS AND ADVISORY | WR SECURITIES, LLC | WOLFE TRAHAN SECURITIES | WOLFE RESEARCH SECURITIES

CRD#: 151850 / SEC#: , 8-68406

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

Main Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Mailing Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Phone number
(646) 845-0700
Established
New York since 08/03/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (48 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WOLFE HOLDCO, LLCSOLE OWNER
JORDAN, FRANCISCFO/FINOP5634167
PALLANTE, SANDRA MARIEGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER2018926
RYAN, PETER WILLIAMVICE CHAIRMAN2009055
WOLFE, EDWARD MARKCEO2804319

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

WOLFE RESEARCH SECURITIES

CRD#: 151850Chicago, IL 60606

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