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Mark William Viklund

H.c.wainwright & CO., LLC

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About Mark William Viklund

Mark Viklund is a financial professional with over 25 years of experience in the industry. He has held various roles at prominent firms including Lehman Brothers Inc., CS First Boston Corporation, Bear, Stearns & Co. Inc., and Cantor Fitzgerald & Co. Currently, Mark is registered with H.c.wainwright & Co., LLC, a broker-dealer located in New York, NY.

Firm Information

Mark Viklund is currently registered with H.c.wainwright & CO., LLC. H.c.wainwright & CO., LLC is a Limited Liability Company that was formed in April 2013. They are registered to conduct business in all 50 U.S. states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

11

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.

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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Mark Viklund’s Registration & Firm History

NY

04/15/2013 - Present

H.c.wainwright & CO., LLC (NEW YORK NY)

FL

09/18/2012 - 04/17/2013

DAWSON JAMES SECURITIES, INC. (BOCA RATON FL)

NY

08/13/2012 - 09/14/2012

RODMAN & RENSHAW, LLC (NEW YORK NY)

NY

05/19/2011 - 03/07/2012

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

10/20/2004 - 07/28/2008

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC (NEW YORK NY)

TN

10/14/2002 - 02/10/2004

FTN FINANCIAL SECURITIES CORP (MEMPHIS TN)

NY

01/12/2001 - 05/03/2002

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NY

11/18/1999 - 11/29/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

09/09/1996 - 10/05/1999

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

05/15/1996 - 09/20/1996

CS FIRST BOSTON CORPORATION (NEW YORK NY)

NY

06/29/1994 - 05/06/1996

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/03/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/29/2012

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/2011

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 06/28/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mark William Viklund.
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