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 Newcomb is a financial advisor who has been in the industry since 1996. Mark is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and is licensed in 51 states. Mark has held prior registrations with Principal Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, ING Financial Partners, Inc., and ING Financial Advisers, LLC. Mark has obtained the Series 6, 7, 26, 63 and 66 licenses and the SIE exam. Mark's current employment is at the Peoria, AZ branch of Merrill Lynch, Pierce, Fenner & Smith Inc.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
AZ
04/14/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PEORIA AZ)
AZ
08/14/2015 - 04/06/2022
PRINCIPAL SECURITIES, INC. (PHOENIX AZ)
AZ
08/30/2012 - 08/03/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GLENDALE AZ)
AZ
02/15/2012 - 08/10/2012
ING FINANCIAL PARTNERS, INC. (GLENDALE AZ)
AZ
01/18/1996 - 08/10/2012
ING FINANCIAL ADVISERS, LLC (PHOENIX AZ)
BOTH
Issued 11/21/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/26/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/28/1998
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/2012
Series 7 - General Securities Representative Examination
BC
Issued 08/28/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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