Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Adam Borcherding is a financial advisor at RBC Capital Markets, LLC, where he has been working since November 2008. Prior to joining RBC Capital Markets, LLC, Mark worked at H&R Block Financial Advisors, Inc., Wachovia Securities, LLC, Prudential Securities Incorporated and Nationwide Advisory Services, Inc.. Mark has a broad range of experience in the financial services industry, having held positions in both brokerage and investment advisory. He has been registered with the Securities and Exchange Commission (SEC) since September 1993. Mark holds a variety of licenses and designations, including Series 6, 7, 9, 10, 24, 63 and 65. Mark provides a variety of financial advisory services to individuals, families, businesses, and institutions. Mark is committed to providing his clients with personalized financial advice and services to help them achieve their financial goals.
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
KS
11/07/2008 - Present
RBC Capital Markets, LLC (LEAWOOD KS)
KS
09/19/2003 - 11/10/2008
H&R BLOCK FINANCIAL ADVISORS, INC. (OVERLAND PARK KS)
MO
07/01/2003 - 09/29/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
12/19/1995 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
OH
09/07/1993 - 12/15/1995
NATIONWIDE ADVISORY SERVICES, INC. (COLUMBUS OH)
IA
Issued 02/15/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/15/2004
Series 24 - General Securities Principal Examination
BC
Issued 09/08/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/03/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2002
Series 3 - National Commodity Futures Examination
BC
Issued 01/24/1996
Series 7 - General Securities Representative Examination
BC
Issued 09/03/1993
Series 6 - Investment Company Products/Variable Contracts 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.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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