H.C. Wainwright Appoints Mark E. Kaplan as Chief Executive Officer; Mark Viklund Named Executive Vice Chairman of the Board

NEW YORK--(BUSINESS WIRE)--H.C. Wainwright & Co., LLC today announced that Mark E. Kaplan has been appointed Chief Executive Officer. Mr. Kaplan succeeds Mark Viklund, who will transition from his role as CEO after 13 years of day-to-day operational leadership. Mr. Viklund will assume the position of Executive Vice Chairman of the Board of Directors and continue to serve as a senior advisor to the Firm.

Mr. Kaplan brings more than 30 years of a broad range of financial industry experience to H.C. Wainwright. Most recently, for the past seven years, he served as Senior Managing Director and Global Chief Operating Officer at Cantor Fitzgerald, where he was responsible for overseeing the firm’s global businesses and operations as well as leading several strategic initiatives and acquisitions. Prior to his time at Cantor Fitzgerald, Mr. Kaplan was Chief Operating Officer of Société Générale for the Americas and before that, General Counsel of Société Générale and its investment banking subsidiary, Cowen and Company. He has also held senior legal roles at CIBC World Markets and Oppenheimer & Co., bringing a breadth of expertise across investment banking, business strategy, regulatory relations, and corporate governance.

“Mark Kaplan is a proven leader with an exceptional track record in managing and growing complex financial organizations,” noted Arnold Kling, Non-Executive Chairman of the Board. “His strategic perspective and operational acumen, as well as deep industry experience in Life Sciences, Crypto currencies and markets, and Mining sectors, will be instrumental as we continue to expand our platform and serve our clients in new and innovative ways. We are delighted to welcome Mark onboard.”

Mr. Viklund’s tenure as CEO has been transformational for H.C. Wainwright. Since taking the helm in 2012, he has guided the Firm through a period of significant growth and evolution. Under his leadership, the Firm has been ranked the No. 1 placement agent for 40 consecutive quarters by PlacementTracker, by transaction volume. During this time, H.C. Wainwright has expanded its range of offerings across investment banking, capital markets, and corporate access, while deepening its client base and growing its global reach.

“It has been an extraordinary privilege to lead H.C. Wainwright through a period of growth and transformation,” said Mr. Viklund. “Our success is the direct result of an exceptional team whose dedication and talent propelled us forward. I’m proud of what we’ve built together and confident that the Firm is positioned for even greater success. This is the right moment to hand over day-to-day leadership and focus on supporting the next chapter of growth in my role as Executive Vice Chairman.”

H.C. Wainwright looks forward to this next chapter with optimism and confidence. The Firm remains committed to its mission of delivering value for its clients, supporting innovation, and expanding into new markets and verticals.

About H.C. Wainwright & Co.

H.C. Wainwright is a full-service investment bank dedicated to providing corporate finance, strategic advisory and related services to public and private companies across multiple sectors and regions. H.C. Wainwright & Co. also provides research and sales and trading services to institutional investors. According to EPFR, H.C. Wainwright’s team is ranked as the #1 Placement Agent in terms of aggregate CMPO (confidentially marketed public offering), RD (registered direct offering), and PIPE (private investment in public equity) executed cumulatively since 1998.