Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Arnold Theriault is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., in Frisco, TX. Mark has been in the industry since January 12, 1989. Mark holds both Series 63 and Series 65 licenses and has a wealth of experience working with a variety of clients including individuals, corporations, and charitable organizations. Mark previously worked with Wells Fargo Advisors, LLC and Citigroup Global Markets Inc. and also worked in New York and New Jersey.
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
TX
08/27/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FRISCO TX)
TX
03/16/2007 - 08/25/2015
WELLS FARGO ADVISORS, LLC (PLANO TX)
TX
03/01/2002 - 03/26/2007
CITIGROUP GLOBAL MARKETS INC. (PLANO TX)
NY
05/25/1990 - 03/06/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
01/11/1989 - 05/22/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 05/26/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/07/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
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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