Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Douglas Query is an investment advisor representative at LPL Financial LLC. Mark has been in the industry since December 26, 1983. Mark has a Series 63, Series 65, Series 7, and Series 24 securities licenses. Mark is registered with the state of Kentucky and 8 other states. Mark has worked for J.J.B. HILLIARD, W.L. LYONS, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED in the past. Mark is also registered as an investment adviser with the state of Kentucky.
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.
Consulting and other non-discretionary advisory services
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
KY
06/06/1994 - Present
LPL Financial LLC (LEXINGTON KY)
KY
09/07/1984 - 05/04/1994
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
NA
12/21/1983 - 08/31/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
12/21/1983 - 08/20/1984
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
IA
Issued 03/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/11/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/08/2004
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 08/09/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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