Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Edward Brown is a financial advisor with over 35 years of experience in the industry. Mark is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and holds Series 3, 7, and 63 licenses as well as Series 65 and SIE designations. Mark has also previously held positions with Citigroup Global Markets Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc. Mark has a strong background in investment management, specializing in portfolio management for individuals and businesses. He is also experienced in providing pension consulting and educational seminars. Mark is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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
CA
05/07/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WALNUT CREEK CA)
CA
07/31/1993 - 05/20/2009
CITIGROUP GLOBAL MARKETS INC. (WALNUT CREEK CA)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/24/1987 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 05/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/05/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/1987
Series 3 - National Commodity Futures Examination
BC
Issued 02/21/1987
Series 7 - General Securities 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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