Mark M. Whelpton
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 Macphee Whelpton was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2002. Mark had worked at 6 firms and has passed the Series 63, SIE 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 5, 2021 - June 2, 2023
LAURENTIAN CAPITAL (USA) INC
January 26, 2021 - July 2, 2021
GLOBAL ALLIANCE SECURITIES LLC
March 4, 2020 - August 21, 2020
VENTUM FINANCIAL (US) CORP.
January 30, 2015 - May 24, 2019
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
October 5, 2005 - January 7, 2015
NBF SECURITIES (USA) CORP.
April 19, 2002 - January 27, 2005
TD SECURITIES (USA) LLC
State Registrations and Notice Filings
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Exams
Current Firm
LAURENTIAN CAPITAL (USA) INC
CRD#: 171211 / SEC#: , 8-69450
Contact information
Documents
Direct owners and executive officers
Red Flags
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