Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Battaglia is a financial advisor currently registered with UBS Financial Services Inc. Mark has been in the financial industry since January 2023. Mark has Series 7TO, SIE, and Series 66 licenses. Mark also holds FINRA registrations as well as state registrations in 38 states including New York. Prior to joining UBS Financial Services Inc. Mark was registered with Equitable Advisors, LLC.
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
01/23/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
01/09/2023 - 01/31/2024
EQUITABLE ADVISORS, LLC (NEW YORK NY)
BOTH
Issued 10/20/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/09/2023
Series 7TO - General Securities Representative Examination
BC
Issued 08/30/2021
SIE - Securities Industry Essentials 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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