Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Ellis Gold is a financial advisor with over 30 years of experience in the industry. Mark has been with UBS Financial Services Inc. since 2015, where he is registered as a Registered Representative. Previously, Mark was a Registered Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, ADVEST, INC., MORGAN STANLEY DW INC., PRUDENTIAL SECURITIES INCORPORATED, THOMSON MCKINNON SECURITIES INC., SHEARSON LOEB RHOADES INC., BACHE HALSEY STUART SHIELDS INCORPORATED, SHIELDS MODEL ROLAND INCORPORATED, SHIELDS & COMPANY INCORPORATED, and SCHEINMAN HOCHSTIN & TROTTA. Mark holds Series 1, 5, 7TO, 9, 10, 15, 63 and SIE licenses and is registered in Florida and Texas. Mark provides a variety of financial services to individuals, businesses, investment companies, pension and profit-sharing plans, insurance companies, charitable organizations, and state or municipal government entities.
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.
See schedule d - miscellaneous
1
2
FL
09/18/2015 - Present
UBS Financial Services Inc. (Hallandale Beach FL)
FL
03/08/2006 - 09/18/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (AVENTURA FL)
CT
09/03/2004 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
NY
07/06/2000 - 09/17/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
09/15/1989 - 07/14/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/27/1981 - 09/15/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
02/08/1978 - 05/24/1981
SHEARSON LOEB RHOADES INC.
NA
09/16/1977 - 03/06/1978
BACHE HALSEY STUART SHIELDS INCORPORATED
NA
09/20/1974 - 09/16/1977
SHIELDS MODEL ROLAND INCORPORATED
NA
10/06/1971 - 09/20/1974
SHIELDS & COMPANY INCORPORATED
NA
09/22/1969 - 01/17/1972
SCHEINMAN HOCHSTIN & TROTTA
BC
Issued 10/03/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/09/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1988
Series 15 - Foreign Currency Options Examination
BC
Issued 01/25/1982
Series 5 - Interest Rate Options Examination
BC
Issued 05/05/1981
PC - AMEX Put and Call Exam
BC
Issued 07/01/1967
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
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
Not sure Mark Gold is the right advisor for you? Invested Better is here to help.
