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Mark G. Beesley

Some features on this profile are disabled
CRD#: 5362689
MB

Professional summary

Mark Gilbert Beesley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Mark had worked at 6 firms, which includes WOOD (ARTHUR W.) COMPANY INC., LPL FINANCIAL LLC, SPIRE SECURITIES LLC, POTOMAC SECURITIES LLC, GALEN CORPORATION SECURITIES INC, GCC-PROSPECT CORPORATION.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 24, 2021 - April 17, 2023

WOOD (ARTHUR W.) COMPANY, INC.

BD
CRD#: 3798
BOSTON, MA
Past

March 11, 2019 - November 4, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
ALEXANDRIA, VA
Past

June 9, 2015 - November 8, 2016

SPIRE SECURITIES, LLC

BD
CRD#: 144131
MCLEAN, VA
Past

June 21, 2011 - June 18, 2013

POTOMAC SECURITIES, LLC

BD
CRD#: 144443
MCLEAN, VA
Past

February 7, 2008 - July 8, 2009

GALEN CORPORATION SECURITIES, INC

BD
CRD#: 142977
MCLEAN, VA
Past

August 14, 2007 - November 11, 2009

GCC-PROSPECT CORPORATION

BD
CRD#: 124728
MCLEAN, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/5/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/15/2007
General Securities Principal Examination

Current Firm

W(
WOOD (ARTHUR W.) COMPANY, INC.
ARTHUR W. WOOD COMPANY | WOOD (ARTHUR W.) COMPANY, INC. | THE NEW ENGLAND COMPANY | ARTHUR WOOD INVESTMENT ADVISORS | ARTHUR W. WOOD COMPANY, INC.

CRD#: 3798 / SEC#: , 8-3368

BD
Cancelled by SEC on 12/10/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 09/01/1899
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MCCARTHY, DONALD PHILIPDIRECTOR, PRESIDENT/CEO, CCO858923

Disclosures

Regulatory Event10

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.

Company Information

WOOD (ARTHUR W.) COMPANY, INC.

CRD#: 3798

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