Mark C. Wilson
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 Charles Wilson, who also goes by Mark Wilson, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2004. Mark had worked at 6 firms and has passed the Series 66, SIE, Series 31 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
March 19, 2010 - August 20, 2019
CUNA BROKERAGE SERVICES, INC.
March 19, 2010 - August 20, 2019
CUNA BROKERAGE SERVICES, INC.
November 17, 2009 - March 5, 2010
TD WEALTH MANAGEMENT SERVICES INC.
November 17, 2009 - March 5, 2010
TD WEALTH MANAGEMENT SERVICES INC.
December 10, 2008 - November 17, 2009
CETERA INVESTMENT SERVICES LLC
December 10, 2008 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
March 16, 2007 - December 3, 2008
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 16, 2007 - December 3, 2008
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 22, 2004 - March 22, 2007
MORGAN STANLEY DW INC.
September 22, 2004 - March 22, 2007
MORGAN STANLEY DW INC.
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
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
