Mark R. Gallivan
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 Ryan Gallivan, CFP® was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2006. Mark had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2018 - August 5, 2022
DIMENSIONAL FUND ADVISORS LP
April 18, 2018 - August 5, 2022
DFA SECURITIES LLC
June 1, 2012 - March 19, 2018
SEI INVESTMENTS DISTRIBUTION CO.
May 8, 2012 - March 23, 2018
SEI INVESTMENTS MANAGEMENT CORP
November 21, 2011 - April 19, 2012
ASSETMARK, INC.
November 2, 2009 - November 7, 2011
ASSETMARK, INC.
October 12, 2007 - April 19, 2012
CAPITAL BROKERAGE CORPORATION
November 27, 2006 - September 4, 2007
NATCITY INVESTMENTS, INC.
May 10, 2006 - August 22, 2006
W&S BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
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
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
Red Flags
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