Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marc? Claim Your ProfileMarc Phillip Ugo is a financial advisor registered with Wells Fargo Clearing Services, LLC. Marc has been in the financial industry since 1991. Marc has a wide range of experience in the financial services industry, working with various firms over the years. Marc holds Series 7, 63, and 24 securities licenses and a Series 65 investment advisor license. Marc has held registrations in numerous states across the country. Marc is currently registered with Wells Fargo Advisors LLC and Wells Fargo Clearing Services, LLC in Florida.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
06/22/2001 - Present
Wells Fargo Clearing Services, LLC (TAMPA FL)
FL
12/07/1998 - 06/15/2001
THE FIRST AMERICAN INVESTMENT BANKING CORPORATION (TAMPA FL)
FL
06/02/1994 - 08/03/1999
PALM STATE EQUITIES, INC. (SUN CITY CENTER FL)
NY
07/27/1992 - 06/15/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
FL
07/29/1991 - 03/30/1992
PALM STATE EQUITIES, INC. (SUN CITY CENTER FL)
IA
Issued 11/11/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/31/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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