Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Whaley has been in the financial services industry for over 40 years. Mark is currently registered with Oppenheimer & Co. Inc. Mark's previous experience includes roles with Freedom Investments, Inc., Bear, Stearns & Co. Inc., RBC Dain Rauscher Inc., Tucker Anthony Incorporated and Gibraltar Securities Co. Mark has a wide range of experience, including providing financial planning, pension consulting, and portfolio management for individuals, businesses, and pooled investment vehicles.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
04/07/2021 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NJ
08/18/2008 - 01/22/2020
FREEDOM INVESTMENTS, INC. (EDISON NJ)
NJ
06/15/2005 - 04/09/2008
BEAR, STEARNS & CO. INC. (WHIPPANY NJ)
NY
03/09/2002 - 03/31/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
09/01/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NJ
03/01/1982 - 09/01/1999
GIBRALTAR SECURITIES CO. (FLORHAM PARK NJ)
IA
Issued 07/18/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/13/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 08/02/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/14/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/15/1987
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/24/1986
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2007
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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