Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marc? Claim Your ProfileMarc Karis is a Financial Advisor with Wells Fargo Securities, LLC, a company registered with the Securities and Exchange Commission (SEC). Marc has over 20 years of experience in the financial services industry. Marc is registered with FINRA and holds the following licenses: Series 7, Series 10, Series 14, Series 24, Series 26, Series 39, Series 52, Series 63, Series 66, Series 82, and Series 99. Marc is also registered in all 50 states. Marc's career spans a number of firms including BOFA Securities, Inc., MERRILL LYNCH PROFESSIONAL CLEARING CORP., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and DEUTSCHE BANK SECURITIES INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
07/12/2023 - Present
Wells Fargo Securities, LLC (New York NY)
NY
05/10/2019 - 03/20/2023
BOFA SECURITIES, INC. (NEW YORK NY)
NY
12/16/2013 - 03/20/2023
MERRILL LYNCH PROFESSIONAL CLEARING CORP. (NEW YORK NY)
NY
06/10/2013 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/22/2005 - 05/28/2013
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
10/01/2003 - 04/13/2005
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
11/01/2002 - 10/07/2003
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 11/07/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/12/2023
Series 14 - Compliance Officer Examination
BC
Issued 07/12/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 07/12/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/29/2015
Series 24 - General Securities Principal Examination
BC
Issued 07/12/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/12/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 07/12/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 07/12/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 07/12/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
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FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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