Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Anthony Ellis is a financial advisor based in Houston, TX. Mark is registered with Hilltop Securities Inc. and has been in the financial services industry since 1996. Mark has a wide range of experience, having worked for several firms, including Jefferies LLC, Centaurus Financial, Inc., and AXA Advisors, LLC. Mark holds several licenses and certifications including Series 7, Series 6, Series 50, Series 52, Series 53, Series 63, Series 65, and SIE. Mark specializes in providing financial planning, investment management, and educational seminars to individuals, businesses, and charitable organizations.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
11/02/2020 - Present
Hilltop Securities Inc. (Houston TX)
TX
03/27/2009 - 08/11/2020
JEFFERIES LLC (HOUSTON TX)
TX
01/04/2000 - 12/31/2014
CENTAURUS FINANCIAL, INC. (HOUSTON TX)
TX
09/14/2007 - 03/27/2009
DEPFA FIRST ALBANY SECURITIES, LLC (HOUSTON TX)
TX
01/11/2007 - 09/18/2007
BROADPOINT CAPITAL, INC. (HOUSTON TX)
NY
08/21/1996 - 04/10/2000
AXA ADVISORS, LLC (NEW YORK NY)
NY
08/21/1996 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 09/04/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/22/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/22/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 04/20/2021
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/1998
Series 7 - General Securities Representative Examination
BC
Issued 08/20/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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