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 Mastroberti is a financial advisor with over 35 years of experience in the financial services industry. Mark has been associated with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2011. Prior to this role, Mark worked for Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Mark is registered with the Securities and Exchange Commission and FINRA. He holds the Series 7, Series 31, Series 63, and Series 65 licenses, as well as the SIE exam.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
06/15/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RED BANK NJ)
NJ
06/01/2009 - 11/04/2011
MORGAN STANLEY SMITH BARNEY (SHREWSBURY NJ)
NJ
08/20/1996 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHREWSBURY NJ)
NJ
12/17/1985 - 08/22/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 11/08/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 12/14/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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