Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Allen Zeller is a financial advisor with UBS Financial Services Inc., with over 28 years of experience in the industry. Mark has been registered with the Securities and Exchange Commission (SEC) since 1993 and holds a variety of licenses and registrations including Series 3, 7, 63, 65, and 66. Mark has held previous roles at Citigroup Global Markets Inc. and Smith Barney Inc. Mark is a member of the board and secretary of the Jack Martin Fund. Mark is registered to provide investment advisory services in Connecticut, Florida, New York and Texas.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
FL
07/20/2009 - Present
UBS Financial Services Inc. (Naples FL)
NY
04/03/1996 - 07/22/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/17/1993 - 10/25/1995
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 11/30/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/1994
Series 3 - National Commodity Futures Examination
BC
Issued 09/15/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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