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Senior Vice President and Chief Compliance Officer
As Securities America’s chief compliance officer, Mark leads the firm’s advisory and brokerage compliance functions, including licensing, communications review, AML, surveillance, and the client and regulatory inquiry groups. Prior to joining Securities America in 2014, Mark served as chief compliance officer and chief operations officer for Wells Fargo’s capital markets brokerage division, overseeing compliance, operations, technology, project management, and its learning and development group.
Mark is married and has three daughters. He graduated from Saint John’s University (MN) with a Bachelor of Science in accounting and has a Master of Business Administration from the University of Saint Thomas (MN). In addition to being an inactive CPA, Mark also holds Series 4, 7, 24, 27, 53 and 63 securities industry registrations.
He previously served on the FINRA (NASD) District 4 Nominating Committee, the FINRA Consultative Committee, the FINRA Technology Advisory Committee and the FINRA District 4 Committee, including chairing the committee in the third year of his term. He is also a former FINRA hearing panel member.
- Bachelor of Science in Accounting from Saint John’s University
- Master of Business Administration from the University of Saint Thomas
- Series 4, 7, 24, 27, 53 and 63 securities licenses
Check the background of this investment professional on FINRA’s BrokerCheck.