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 Sears is an active financial advisor in Monterey, California. He joined Morgan Stanley in September 2019. Mark has over 20 years of experience in the financial industry, having previously worked with UBS Financial Services Inc. and Morgan Stanley & Co. Incorporated. Mark is licensed to sell securities in 18 states and holds Series 3, 7, 9, 10, 31, and 63 licenses, as well as the SIE. Mark provides investment advice and portfolio management services to individuals, corporations, institutions, and charitable organizations.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
09/13/2019 - Present
Morgan Stanley (Monterey CA)
CA
11/07/2008 - 09/24/2019
UBS FINANCIAL SERVICES INC. (CARMEL CA)
CA
04/02/2007 - 11/11/2008
MORGAN STANLEY & CO. INCORPORATED (MONTEREY CA)
CA
07/16/1998 - 04/02/2007
MORGAN STANLEY DW INC. (MONTEREY CA)
IA
Issued 08/13/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/13/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/18/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/16/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2005
Series 3 - National Commodity Futures Examination
BC
Issued 12/18/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 07/15/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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