Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Spaulding is a financial advisor at Wells Fargo Securities, LLC. Mark has over 28 years of experience in the financial services industry, working for both large and small firms. Mark holds several securities licenses, including Series 7, Series 24, Series 27, Series 55, and Series 63. Mark also has passed the SIE, Series 57TO, Series 79TO, and Series 99TO exams. Mark is registered to sell securities in North Carolina. Prior to joining Wells Fargo Securities, LLC, Mark worked at Wachovia Securities, LLC, First Union Capital Markets Corp. and The Volume Investor, Inc.
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.
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.
1
2
NC
07/01/2003 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
MO
10/01/1999 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
12/15/1998 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
03/08/1996 - 11/19/1998
THE VOLUME INVESTOR, INC. (NEW YORK NY)
FL
10/04/1994 - 03/19/1996
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED (TAMPA FL)
BC
Issued 10/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/28/1997
Series 27 - Financial and Operations Principal Examination
BC
Issued 07/25/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/03/1994
Series 7 - General Securities 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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Mark Spaulding is the right advisor for you? Invested Better is here to help.
