Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Thornberry is a financial advisor associated with Merrill Lynch, Pierce, Fenner & Smith Inc.. Mark has been in the industry since August 1998, with past experience at Fidelity Brokerage Services LLC and UBS PaineWebber Inc.. Mark holds Series 7, 9, 10, 31, 63 and 65 licenses. Mark is currently registered with FINRA and the state of Texas and serves clients in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin and Wyoming.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
06/11/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (THE WOODLANDS TX)
TX
03/21/2001 - 06/05/2014
FIDELITY BROKERAGE SERVICES LLC (HOUSTON TX)
NJ
08/04/1998 - 03/13/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
IA
Issued 08/14/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/19/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/22/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/29/2019
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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