Mark R. Wilfert
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 Richard Wilfert was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2001. Mark had worked at 4 firms and has passed the Series 63, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2007 - June 7, 2013
MARK R. WILFERT & COMPANY, LLC
January 4, 2006 - April 14, 2014
STONERIDGE CAPITAL GROUP, LLC
May 14, 2001 - February 19, 2002
COLLIERS SECURITIES LLC
January 30, 2001 - April 11, 2001
PIPER SANDLER & CO.
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 28
Date: 12/8/2005
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MARK R. WILFERT & COMPANY, LLC
CRD#: 143325 / SEC#: , 8-67552
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILFERT, MARK RICHARD | CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER, FINOP | 4223249 |
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.
