Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Giles is a financial advisor with over 30 years of experience in the industry. Mark has a wide range of experience, having worked for several prominent firms including Davis Distributors, LLC, Neuberger Berman LLC, OppenheimerFunds Distributor, Inc., and BA Investment Services, Inc. Currently, Mark is registered with BNY Mellon Securities Corp. Mark holds both Series 63 and Series 65 licenses. In addition to the Series 63 and 65, Mark also holds the Series 7 and SIE licenses. Mark is well-positioned to help clients with a wide variety of investment needs.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Bnymsc sponsors a wrap fee program, and serves as a portfolio mgr or model provider to third party wrap program sponsors.
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.
1
2
NY
09/02/2022 - Present
BNY Mellon Securities Corp. (New York NY)
NY
02/26/2013 - 06/17/2022
DAVIS DISTRIBUTORS, LLC (NEW YORK NY)
TX
10/28/2009 - 02/26/2013
NEUBERGER BERMAN LLC (DALLAS TX)
NY
04/02/1999 - 10/16/2009
DAVIS DISTRIBUTORS, LLC (NEW YORK NY)
NY
10/05/1993 - 03/03/1999
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
CA
02/02/1993 - 09/09/1993
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
WI
07/01/1989 - 02/26/1993
INVEST FINANCIAL CORPORATION (APPLETON WI)
NA
06/21/1988 - 08/14/1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
NA
05/20/1988 - 07/09/1988
J. T. MORAN & CO., INC.
NA
08/20/1987 - 05/23/1988
SHERWOOD CAPITAL, INC.
IA
Issued 02/27/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/19/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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