Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Axelowitz is an active financial advisor registered with UBS Financial Services Inc. Mark has been in the financial industry since 1987. Mark has also been previously registered with Morgan Stanley Smith Barney, Citigroup Global Markets Inc, Morgan Stanley DW Inc, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Lehman Brothers Inc and Paine Webber Incorporated. Mark specializes in portfolio management for individuals and businesses, as well as financial planning and pension consulting. Mark provides advisory services to a variety of clients, including high-net-worth individuals, corporations, pension plans, and charitable organizations. Mark holds a Series 3, Series 5, Series 7, Series 63 and Series 65 license.
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
NY
07/27/2011 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
06/01/2009 - 06/29/2011
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
02/03/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/23/1999 - 02/06/2006
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
01/26/1995 - 07/27/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/20/1991 - 02/22/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
09/27/1988 - 09/20/1991
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
05/21/1987 - 10/06/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 05/16/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/27/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1993
Series 3 - National Commodity Futures Examination
BC
Issued 03/15/1993
Series 5 - Interest Rate Options Examination
BC
Issued 05/16/1987
Series 7 - General Securities 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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