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Mark Alan Ulberg

BNP Paribas Securities Corp.

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About Mark Alan Ulberg

Mark Ulberg is a financial advisor with BNP Paribas Securities Corp. in New York, New York. Mark has been in the industry since September 14, 2006, and holds FINRA Series 7, 63, 79TO, and SIE licenses. Mark has also passed the Uniform Securities Agent State Law Examination. Mark has been registered with the state of New York since January 26, 2023, and is currently active. Before joining BNP Paribas Securities Corp., Mark worked at Citigroup Global Markets Inc.

Firm Information

Mark Ulberg is currently registered with BNP Paribas Securities Corp.. BNP Paribas Securities Corp. is a Corporation formed on September 7, 1984, and is registered to provide financial services in all 50 U.S. states, the District of Columbia, and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

276

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Mark Ulberg’s Registration & Firm History

NY

01/26/2023 - Present

BNP Paribas Securities Corp. (NEW YORK NY)

NY

08/08/2013 - 01/10/2023

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

10/25/2004 - 10/03/2011

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/24/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/23/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

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 PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Mark Alan Ulberg.
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