Unclaimed Profile

Mark Thomas Whaley

OPPENHEIMER & CO. INC.·NEW YORK, New York

SIE, Series 3, Series 4, Series 7, Series 9, Series 10, Series 24, Series 53, Series 57TO, Series 63, Series 65Clean record24 years registeredOPPENHEIMER & CO. INC.

85 BROAD STREET, NEW YORK, NY 10004CRD# 1029869Firm CRD# 249

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Thomas Whaley · NEW YORK, NY

Registration

CRD #1029869 · OPPENHEIMER & CO. INC. · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

Apr 2008 – Apr 2025

NEW YORK, NY

BEAR, STEARNS & CO. INC.

Sep 2005 – Apr 2008

WHIPPANY, NJ

RBC DAIN RAUSCHER INC.

Jun 2002 – Mar 2005

FLORHAM PARK, NJ

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 4

Series 7

Series 9

Series 10

Series 24

Series 53

Series 57TO

Series 63

Series 65

Registration record

First registered · June 4, 2002

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

OPPENHEIMER & CO. INC.

CRD 249 · SEC 801-887

AUM

$27.5B

Regulatory assets under management

Employees

2,812

34,493 client accounts

Services offered by OPPENHEIMER & CO. INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at OPPENHEIMER & CO. INC. →

Introduction

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Frequently Asked Questions

What services does Mark Thomas Whaley offer?

Mark Thomas Whaley specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management.

What are Mark Thomas Whaley's credentials?

Mark Thomas Whaley is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Mark Thomas Whaley located?

Mark Thomas Whaley is based in NEW YORK, New York, last registered with OPPENHEIMER & CO. INC..

How does Mark Thomas Whaley charge for services?

Mark Thomas Whaley's firm is compensated through percentage of aum, subscription fees, commissions, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is OPPENHEIMER & CO. INC.?

OPPENHEIMER & CO. INC. has approximately 2812 employees and manages $27.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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