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 Sandbach is an investment professional with over 20 years of experience in the financial industry. Currently, Mark is a registered representative with Morgan Stanley, operating out of the Louisville, Kentucky branch office. Mark has a proven track record of success in providing financial advice and investment management services to a wide range of clients, including high-net-worth individuals, corporations, and institutions. Mark is a highly respected member of the financial community, holding a variety of licenses and certifications, including Series 7, 9, 10, 31, 63, and 65. He is dedicated to helping clients achieve their financial goals through personalized financial planning, investment management, and wealth preservation strategies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
KY
08/13/2020 - Present
Morgan Stanley (Louisville KY)
KY
06/29/2009 - 11/07/2014
J.P. MORGAN SECURITIES LLC (LOUISVILLE KY)
MO
06/04/2008 - 06/04/2009
WELLS FARGO ADVISORS, LLC (ST. LOUIS MO)
KY
04/02/2007 - 04/23/2008
MORGAN STANLEY & CO. INCORPORATED (LOUISVILLE KY)
NY
06/04/2001 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
08/12/2000 - 06/11/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
03/22/1999 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
IA
Issued 10/01/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/08/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/04/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 01/12/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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