Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Alan Pottle is a financial advisor with over 25 years of experience in the industry. Mark is currently registered with Neuberger Berman BD LLC and has held previous positions with firms like J.P. Morgan Institutional Investments Inc., TD Ameritrade, Inc., and Fidelity Brokerage Services LLC. Mark holds licenses in both Broker-Dealer and Investment Adviser fields. Mark has expertise in portfolio management for individuals, selection of other advisers and holds Series 7, 26, 31, 63, 65, and 66 licenses.
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.
Helps you choose top advisors aligned with your 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.
A percentage of the total value of assets under management is charged.
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2
TX
06/12/2015 - Present
Neuberger Berman BD LLC (KELLER TX)
TX
11/30/2011 - 04/15/2015
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (DALLAS TX)
TX
04/25/2011 - 11/22/2011
TD AMERITRADE, INC. (SOUTHLAKE TX)
TX
01/01/2008 - 09/30/2010
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
TX
01/24/2003 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (WESTLAKE TX)
RI
05/04/1999 - 10/30/2002
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
RI
11/14/1995 - 05/04/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NY
08/09/1995 - 08/29/1995
L.C. WEGARD & CO., INC. (NEW YORK NY)
IA
Issued 06/12/2015
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 05/16/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/10/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/07/2008
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/26/2023
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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