![Mark Walsingham](data:image/svg+xml,<svg xmlns="http://www.w3.org/2000/svg" width="16" height="16" fill="%231b1b1b" class="bi bi-person-fill" viewBox="0 0 16 16"><path d="M3 14s-1 0-1-1 1-4 6-4 6 3 6 4-1 1-1 1zm5-6a3 3 0 1 0 0-6 3 3 0 0 0 0 6"/></svg>)
Mark Walsingham
Compliance Officer chez
Tradition Wealth Management LLC
Profil
Mr. Mark S.
Walsingham is a Chief Compliance Officer at Tradition Wealth Management LLC.
He works closely with the Tradition Wealth Management financial advisors and staff professionals to help build and maintain a strong culture of compliance built on the framework of the industry rules and regulations.
Additionally, he is responsible for designing, implementing, and monitoring the policies, procedures, and processes by which Tradition Wealth Management must comply to help ensure that the firm is following all legal and regulatory requirements.
He has over 15 years of experience in the financial services industry.
Prior to joining Tradition Wealth Management, he served as a supervising principal for an independent broker dealer and registered investment advisor (RIA) where he managed, supervised, and coached financial advisors across the country.
He received his undergraduate degree from the University of Wisconsin-Eau Claire.
Postes actifs de Mark Walsingham
| Sociétés | Poste | Début |
|---|---|---|
Tradition Wealth Management LLC
 Tradition Wealth Management LLC Investment ManagersFinance Tradition Wealth builds asset allocation strategies and percentage allocation based on the current market circumstances and most importantly client's risk tolerance and investment objectives. The firm uses no-load, and load waved open-ended mutual funds as well as mutual funds purchased at net asset value (NAV). In addition, managed accounts may include stocks, exchange traded funds (ETFs) and bonds which are typically transferred or requested by the client. | Compliance Officer | 01/09/2017 |
Formation de Mark Walsingham
Expériences
Fonctions occupées
Actives
Inactives
Sociétés cotées
Entreprise privées
Relations
8
Relations au 1er degré
2
Entreprises liées au 1er degré
Homme
Femme
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Sociétés liées
| Entreprise privées | 2 |
|---|---|
University of Wisconsin-Eau Claire
 University of Wisconsin-Eau Claire Other Consumer ServicesConsumer Services Functions as a College/University | Consumer Services |
Tradition Wealth Management LLC
Tradition Wealth Management LLC Investment ManagersFinance Tradition Wealth builds asset allocation strategies and percentage allocation based on the current market circumstances and most importantly client's risk tolerance and investment objectives. The firm uses no-load, and load waved open-ended mutual funds as well as mutual funds purchased at net asset value (NAV). In addition, managed accounts may include stocks, exchange traded funds (ETFs) and bonds which are typically transferred or requested by the client. | Finance |
