Mark P. Wendland
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 Paul Wendland was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2006. Mark had worked at 7 firms and has passed the Series 99TO, Series 57TO, SIE, Series 55 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
September 29, 2021 - April 29, 2024
DRW SECURITIES, L.L.C.
April 20, 2021 - May 20, 2023
CUMBERLAND SECURITIES LLC
August 12, 2019 - February 20, 2020
DRW SECURITIES, L.L.C.
August 12, 2019 - April 29, 2024
DRW EXECUTION SERVICES, LLC
May 7, 2018 - January 11, 2019
CITADEL CLEARING LLC
May 2, 2017 - January 11, 2019
CITADEL SECURITIES INSTITUTIONAL LLC
November 24, 2009 - January 11, 2019
CITADEL SECURITIES LLC
May 8, 2006 - January 11, 2019
PALAFOX TRADING LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/12/2007
Limited Representative-Equity Trader ExamCurrent Firm
DRW SECURITIES, L.L.C.
CRD#: 45908 / SEC#: , 8-51241
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRW HOLDINGS, LLC | MEMBER | |
| ARMOUR II, ROBERT WILLIAM | CHIEF COMPLIANCE OFFICER | 4447215 |
| CALDWELL, CHRISTOPHER ROBERT | DIRECTOR OF BROKER DEALER COMPLIANCE | 4182335 |
| CALIXTO, CHRIZITA | CHIEF FINANCIAL OFFICER | 6564070 |
| DRW ASSOCIATES LLC | MEMBER | |
| DRW MANAGEMENT, LLC | MANAGER | |
| FOWLER, SCOTT ALAN | FINOP, COO, PFO, POO | 3004363 |
| GARCHIK, ADAM TODD | CEO | 2967638 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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