Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Andy Oles is an investment advisor representative registered with UBS Financial Services Inc. Mark has been in the securities industry since December 22, 1999. Mark's previous employment includes Wachovia Securities, LLC and UBS Financial Services Inc. Mark has passed exams for Series 65, Series 63, Series 10, Series 9, SIE, and Series 7. Mark is registered in 28 states.
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
MA
08/15/2007 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
01/20/2006 - 08/22/2007
WACHOVIA SECURITIES, LLC (BOSTON MA)
NJ
12/23/1999 - 02/06/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
IA
Issued 02/18/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/17/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/17/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1999
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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