Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Trafford is a financial advisor with Oppenheimer & Co. Inc. in Seattle, WA. Mark has been working in the financial industry since 1994. Mark specializes in portfolio management, retirement planning, and financial planning. Mark is a registered investment advisor representative in Washington.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
WA
05/25/2016 - Present
Oppenheimer & Co. Inc. (SEATTLE WA)
WA
10/09/2012 - 05/25/2016
WELLS FARGO ADVISORS, LLC (BELLEVUE WA)
WA
06/01/2009 - 10/25/2012
MORGAN STANLEY (SEATTLE WA)
WA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SEATTLE WA)
OR
07/02/1999 - 04/02/2007
MORGAN STANLEY DW INC. (LAKE OSWEGO OR)
NY
03/02/1998 - 07/02/1999
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
07/18/1994 - 03/02/1998
DAIN RAUSCHER INCORPORATED
IA
Issued 07/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/17/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/05/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/31/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2002
Series 3 - National Commodity Futures Examination
BC
Issued 07/15/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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