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Mark Philip Whelan

Charles Schwab & CO., Inc.

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About Mark Philip Whelan

Mark Whelan is a financial professional with over six years of experience in the financial industry. He is a registered representative with Charles Schwab & Co., Inc. in Phoenix, AZ. Mark has a strong background in investments and financial planning, having previously worked at TD Ameritrade, Inc. in San Diego, CA. He has a comprehensive understanding of the financial markets and is dedicated to providing clients with personalized financial guidance. He is passionate about helping individuals achieve their financial goals. Mark holds Series 4, 7, 24, and 63 licenses, as well as the SIE exam.

Firm Information

Mark Whelan is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Mark Whelan’s Registration & Firm History

AZ

01/22/2021 - Present

Charles Schwab & CO., Inc. (Phoenix AZ)

CA

10/10/2017 - 01/28/2021

TD AMERITRADE, INC. (SAN DIEGO CA)

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Licenses & Designations

BC

Issued 10/17/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/29/2021

Series 4 - Registered Options Principal Examination

BC

Issued 02/18/2021

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/10/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Mark Philip Whelan. Review regulatory record here.
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