Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Williams is an active investment advisor representative for UBS Financial Services Inc., with over 20 years of experience in the financial services industry. Mark is licensed to operate in several states, including Florida, Georgia, and Texas. Mark has a strong track record of success in providing financial advice and investment management services to a wide range of clients, including individuals, families, and businesses. Prior to joining UBS Financial Services Inc., Mark worked with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Mark is committed to providing personalized financial guidance and helping his clients achieve their financial goals.
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
FL
07/23/2008 - Present
UBS Financial Services Inc. (WINTER HAVEN FL)
FL
04/02/2007 - 07/25/2008
MORGAN STANLEY & CO. INCORPORATED (WINTER HAVEN FL)
FL
10/29/2003 - 04/02/2007
MORGAN STANLEY DW INC. (WINTER HAVEN FL)
WI
06/26/2003 - 10/10/2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
BOTH
Issued 03/30/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 12/02/2003
Series 7 - General Securities Representative Examination
BC
Issued 06/25/2003
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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