Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark David Harbaugh is a financial advisor at UBS Financial Services Inc., a firm with over 702 billion in assets under management. Mark has been in the industry since 2014 and is registered to provide investment advice in several states, including New Jersey, New York, North Carolina, and Texas. Mark is a licensed representative and has Series 66, 10, 9, 3, and 7 licenses.
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
NJ
07/10/2019 - Present
UBS Financial Services Inc. (WESTFIELD NJ)
NY
07/09/2007 - 08/21/2007
AMERIVEST PARTNERS, LLC (NEW YORK NY)
BOTH
Issued 11/24/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/01/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/12/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2016
Series 3 - National Commodity Futures Examination
BC
Issued 11/05/2014
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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