Mark Joseph Cool

Employer firm

Split Rock Private Trading And Wealth Management LLC CRD 152003

$356M regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2013 → Present
  Split Rock Private Trading And Wealth Management Llc
  Cloquet, MN
• 01/2014 → 12/2019
  Split Rock Asset Management Llc
  Duluth, MN
• 01/2014 → 12/2019
  North American Shale Energy Fund Lp
  Duluth, MN

Previous Registrations

• 2006-10-04 → 2010-01-06
  Ameriprise Financial Services, Llc
  Cloquet, MN
  International Falls, MN
  Cloquet, MN
  International Falls, MN

Other Businesses

(1) COOL AND KOCON REAL ESTATE HOLDINGS LLC; CO-MEMBER; MARK COOL IS A CO-OWNER OF A COMMERCIAL BUILDING THROUGH WHICH HE COLLECTS BOTH COMMERCIAL AND RESIDENTIAL RENTAL INCOME; 1618 CLOQUET AVE, CLOQUET, MN 55720. (2) MARK COOL IS VICE PRESIDENT AT BLACKLIST BREWING CO. INVESTMENT RELATED: NO; 120 E SUPERIOR ST, DULUTH, MN 55802; BLACKLIST BREWING CO. IS A EUROPEAN-INSPIRED BREWERY THAT SPECIALIZES IN UNIQUE, ARTFULLY-CRAFTED ALES. CREATING SMALL BATCH BREWS, THAT HONOR TRADITIONAL TECHNIQUES, INFUSED WITH CREATIVITY AND PASSION. BLACKLIST BREWING CO. SELLS THEIR CRAFT BEER IN THROUGH THEIR TAPROOM AND MULTIPLE DISTRIBUTION CHANNELS.; PROVIDES BUSINESS ANALYSIS AND OVERSEES FINANCIALS OF DAY TO DAY BUSINESS.; 2019-04-25; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 20; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 1; (4) Mark Joseph Cool is an Advisory Board Member at TB1Fund. He meets with the board to go over fundraising ideas. This is not securities related. No time is devoted to this activity during trading hours. 5 hours a month is devoted to this activity outside of trading hours. He receives no yearly compensation for this activity. (5) Name of outside business: Cloquet Country Club; Is the business investment related: No; Location of the business: 400 Country Club Dr Cloquet MN 55720 USA; Description of the business: Cloquet Country Club is a private country club/golf course.; Position Title: Finance Committee Member; Responsibilities Duties: We have monthly meetings to review the financials of our local country club and make recommendations to the Board of Directors when it comes to budgets and purchases.; Start date with business: 2022-11-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: 0; Will an IRS form for income earned be received: No; Contact person at the organization: Bill Manahan; Website address for the organization: https://cloquetcc.com/.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-09-14
• S63 Uniform Securities Agent State Law Examination
  1998-11-30