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 Graham is a financial advisor with over 30 years of experience in the industry. Mark is currently registered with Stifel, Nicolaus & Company, Inc. in Washington and Texas. Mark has previously been affiliated with firms such as Wells Fargo Clearing Services, LLC, UBS Financial Services Inc., Citigroup Global Markets Inc., and Crowell, Weedon & Co.. Mark offers a variety of financial services, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, portfolio management for individuals, and portfolio management for pooled investment vehicles.
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.
1
2
WA
08/09/2018 - Present
Stifel, Nicolaus & Company, Inc. (SPOKANE WA)
CA
11/27/2009 - 08/13/2018
WELLS FARGO CLEARING SERVICES, LLC (PASADENA CA)
CA
03/02/2007 - 12/10/2009
UBS FINANCIAL SERVICES INC. (PASADENA CA)
WA
02/22/1995 - 03/12/2007
CITIGROUP GLOBAL MARKETS INC. (SPOKANE WA)
CA
05/26/1983 - 02/22/1995
CROWELL, WEEDON & CO. (LOS ANGELES CA)
IA
Issued 03/09/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/08/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/11/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/22/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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