Mark Andrew Halvorsen
Professional Summary
Mark Andrew Halvorsen, who also goes by Mark A Halvorsen, Mark Andrew Halvorsen, is a registered financial advisor currently at GRAY OAK CAPITAL MANAGEMENT, LLC located in Greenwich, Connecticut and GRAY OAK CAPITAL, LLC located in Greenwich, Connecticut. Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Mark has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mark A Halvorsen, Mark Andrew Halvorsen
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Videos & Posts
This advisor has not added any videos or posts yet.
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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
22 years in the financial services industry
Current & Past Employments
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Current Firm
GRAY OAK CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
55 Old Field Point Road, Greenwich, CT 06830Phone Number
(203) 987-0015# of Employees
4Documents
Regulatory Assets Under Management
Total Number of Accounts
9AUM (Assets Under Management)
$60,223,751Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 12/9/2019 |
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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.
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State Registrations and Notice Filings
(9/29/2020)
(11/22/2020)
(4/30/2019)
(1/21/2021)
(12/18/2020)
(10/28/2020)
(12/1/2020)
(2/12/2025)
(10/21/2020)
(8/27/2021)
(11/3/2020)
(2/11/2025)
(9/21/2020)
(9/1/2020)
(9/29/2023)
(1/29/2025)
(2/14/2025)
(1/28/2025)
(1/16/2025)
(10/18/2020)
(9/1/2020)
(2/7/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2020About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Dec 2006Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2004About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Mark Andrew Halvorsen's CRS (Customer Relationship Summary).
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