Mark Howard Whaley

Current Employers

Employment History

• 04/1990 → 04/2021
  Mm Whaley, Inc
  Englewood, CO
• 10/2012 → Present
  Everest Microbial Defense, Llc
  Englewood, CO
• 03/2023 → Present
  Mark Whaley - Business Consulting
  Conifer, CO
• 09/2023 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Other Businesses

-- 1. EVEREST MICROBIAL DEFENSE, LLC POSITION: Co-Founder & Managing Director, and Chief Technology Officer. NATURE: Antimicrobial technology products. Manufacturing and distribution of consumer products with non-toxic antimicrobial properties. COMPENSATION TYPE: Other. INVESTMENT RELATED: No. NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2012 ADDRESS: 1925 W. Harvard Ave., Unit B Englewood CO 80110, United States DESCRIPTION: Oversee product production and order fulfillment as well as consult on antimicrobial technology with prospective business partners in Europe and India. Some of my time is spent in new product development and design, specifically in developing ways to incorporate our technology into a consumer product. "Other" Compensation : I am not paid a salary or commission, but as a principal partner in the LLC I am entitled to 50% of profits. -- 2. INSURANCE POSITION: Agent. NATURE: Insurance and Fixed Annuity. COMPENSATION TYPE: Commission. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 08/21/2023 ADDRESS: 6901 South Yosemite Street, Suite 105 Centennial CO 80112, United States DESCRIPTION: Meeting with clients to help with insurance and fixed annuity needs. -- 3. ASPENMARK WEALTH MANAGEMENT POSITION: Registered Representative. NATURE: DBA/Financial Services. COMPENSATION TYPE: Commission. INVESTMENT RELATED: Yes. NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 10/23/2023 ADDRESS: 6901 South Yosemite Street, Suite 105 Centennial CO 80112, United States DESCRIPTION: Investments, Retirement Planning -- 4. BERGEN PARK CHURCH POSITION: Trustee Board Member. NATURE: Church. COMPENSATION TYPE: No Compensation. INVESTMENT RELATED: No. NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2023 ADDRESS: 31919 Rocky Village Dr. Evergreen, CO 80439, United States. DESCRIPTION: As a Trustee I participate on the Trustee Board which approves the Church operating budget, oversees the facilities operations, and counts monies given as offerings on Sundays. The Trustee Board reports to the Board of Elders who have the overall responsibility of running the Church. -- 5. MARK WHALEY- BUSINESS CONSULTING POSITION: Independent Consultant. NATURE: Business consulting for the service industry - Specifically carpet and flooring maintenance companies. COMPENSATION TYPE: Hourly. INVESTMENT RELATED: No. NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 03/22/2023 ADDRESS: 28500 Pinto Drive Conifer, CO 80433, United States DESCRIPTION: Carpet Maintenance related consulting. Topics of instruction/consulting are carpet construction, wear characteristics, chemistry of cleaning, scientific assessment, creating maintenance programs etc.

Exams

• S63 Uniform Securities Agent State Law Examination
  2024-03-23
• S65 Uniform Investment Adviser Law Examination
  2024-03-09