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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Allen Herega is a financial advisor with Wells Fargo Clearing Services, LLC, based in BRICK, NJ. Mark has been in the financial services industry since October 1998. He holds the Series 7, Series 63, and Series 65 licenses, as well as the SIE exam. He has a history of working with various financial institutions, including PNC INVESTMENTS and Wachovia Securities, LLC. In addition to his financial services work, Mark also operates a business as a commercial pilot and flight instructor. Mark is a registered investment advisor in NJ and TX.
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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
03/23/2024 - Present
Wells Fargo Clearing Services, LLC (BRICK NJ)
NJ
04/27/2004 - 03/26/2024
PNC INVESTMENTS (BRIDGEWATER NJ)
MO
11/20/2003 - 05/18/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
08/07/2000 - 12/04/2003
QUICK & REILLY, INC. (NEW YORK NY)
NY
11/16/1999 - 08/07/2000
FLEET ENTERPRISES, INC. (NEW YORK NY)
NJ
10/30/1998 - 11/24/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 11/12/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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