Mark Phillips Walsh
Professional Summary
Mark Phillips Walsh is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
WOLFE CAPITAL MARKETS AND ADVISORY | WR SECURITIES, LLC | WOLFE TRAHAN SECURITIES | WOLFE RESEARCH SECURITIES
Contact Information
Main Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013Mailing Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013Phone Number
(646) 845-0700Established
New York since 08/03/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (48 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/13/2023)
(12/5/2023)
(12/5/2023)
(12/3/2025)
(12/3/2025)
(12/5/2023)
(12/5/2023)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(3/12/2018)
(12/3/2025)
(3/20/2024)
(3/12/2018)
(3/12/2018)
(12/5/2023)
(12/5/2023)
(3/12/2018)
(1/13/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mark Phillips Walsh's CRS (Customer Relationship Summary).
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