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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 Anthony Paone is a financial advisor with UBS Financial Services Inc. in Peabody, Massachusetts. Mark has been in the financial services industry since 1995 and has a strong track record of success. Mark is committed to providing personalized financial advice and investment solutions that meet the unique needs of each client. Mark Anthony Paone holds Series 6, 7, 31, and 65 licenses as well as a SIE certification. Mark is also registered to offer securities in 15 states, including Connecticut, Delaware, Florida, Georgia, Maine, Massachusetts, Minnesota, New Hampshire, New York, North Carolina, Rhode Island, South Carolina, Texas, Utah, and Vermont.
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
02/27/2009 - Present
UBS Financial Services Inc. (PEABODY MA)
MA
12/09/2002 - 03/19/2009
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
NJ
10/29/2001 - 10/21/2002
CITISTREET EQUITIES LLC (SOMERSET NJ)
NJ
04/01/1997 - 06/01/2000
COPELAND EQUITIES LLC (SOMERSET NJ)
MA
03/18/1994 - 10/01/1996
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
VT
09/30/1993 - 02/25/1994
EQUITY SERVICES, INC. (MONTPELIER VT)
IA
Issued 01/29/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 12/19/2002
Series 7 - General Securities Representative Examination
BC
Issued 09/29/1993
Series 6 - Investment Company Products/Variable Contracts 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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