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Mark David Carden

UBS Securities LLC

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About Mark David Carden

Mark Carden has been a registered representative in the securities industry since November 2005. Mark has a long history with the financial services industry having started his career with Lincoln Financial Distributors, Inc. Mark has been a registered representative with UBS Securities LLC since June 2012. Mark has experience in Investment Company Products/Variable Contracts, Securities, and Research Analyst services. Mark holds the Series 6, 7, 86, 87, and SIE licenses. He has also passed the Uniform Securities Agent State Law Examination (Series 63).

Firm Information

Mark Carden is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Mark Carden’s Registration & Firm History

NY

06/18/2012 - Present

UBS Securities LLC (NEW YORK NY)

PA

11/07/2005 - 09/08/2006

LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)

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Licenses & Designations

BC

Issued 06/20/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/07/2012

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 07/03/2012

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 06/15/2012

Series 7 - General Securities Representative Examination

BC

Issued 11/04/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Mark David Carden.
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