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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Daniel Orton is a financial advisor with over 20 years of experience in the industry. Mark is currently registered with Wells Fargo Clearing Services, LLC in both North Carolina and South Carolina. Mark has previously held positions with MetLife Securities Inc. and Waddell & Reed, Inc.. Mark is a Series 6, 7, 9, 10, 63, and 66 licensed advisor and holds the SIE and Series 99TO licenses. Mark specializes in providing investment consulting services to institutional clients, as well as financial planning, pension consulting, and selection of other advisors. Mark's current employment with Wells Fargo Clearing Services, LLC is his primary registration and business.
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.
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.
Investment consulting services to institutional clients
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
NC
06/27/2024 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
MA
10/06/2003 - 08/09/2004
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
10/06/2003 - 08/09/2004
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NA
10/14/1987 - 10/12/1988
WADDELL & REED, INC.
BOTH
Issued 06/26/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/31/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/06/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/31/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2005
Series 7 - General Securities Representative Examination
BC
Issued 10/04/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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