Mark joined CWS in 2012 and is the Chief Operating Officer and Chief Compliance Officer for the broker dealer and investment advisors. He is responsible for ensuring CWS’ operations run smoothly and its security offerings adhere to state and federal regulations. He has a Bachelor’s of Science degree from USC (Finance), Associate’s of Science degree from Mt. San Antonio (Accounting), and earned the CRCP designation at the FINRA Institute at Wharton, University of Pennsylvania.
Mark first entered the securities industry in 1995 and has since worked at various small and mid-sized independent and captive investment firms in diverse roles including sales, operations, and compliance. He currently holds the Series 7, 24, 27, 63, and 65 licenses. Mark has held the position of BRIDGE coach for CWS’ community service program and volunteers for various causes that support conservation and rehabilitation of our remaining wilderness.