Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Willets is a financial advisor with over 30 years of experience in the financial services industry. Mark is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Prior to joining Merrill Lynch, Mark worked for BANC OF AMERICA INVESTMENT SERVICES, INC., WELLS FARGO INVESTMENTS, LLC, PRUDENTIAL SECURITIES INCORPORATED, PAINEWEBBER INCORPORATED and SALOMON SMITH BARNEY INC. Mark specializes in providing financial advice to a range of clients, including high-net-worth individuals, corporations, pension and profit-sharing plans, and charitable organizations. Mark offers a variety of services, including portfolio management, financial planning, and investment advisory services.
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
AZ
03/15/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCOTTSDALE AZ)
AZ
01/27/2003 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (PHOENIX AZ)
CA
05/02/2002 - 02/14/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
NY
02/21/2001 - 01/30/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
06/10/1999 - 02/27/2001
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/31/1997 - 06/04/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
TX
04/29/1992 - 07/23/1997
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 03/27/2003
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/21/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/30/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/23/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/1998
Series 3 - National Commodity Futures Examination
BC
Issued 04/21/1992
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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