Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Ernest Zima is a financial professional with over 30 years of experience in the industry. Mark is currently registered with Credit Suisse Securities (usa) LLC. Prior to joining Credit Suisse, Mark worked at Lehman Brothers Inc., Morgan Stanley DW Inc., Prudential Securities Incorporated, and Smith Barney Inc. Mark has a broad range of experience in the financial services industry, including investment banking, securities trading, and investment management. Mark holds a variety of licenses and certifications, including Series 7, 8, 9, 10, 24, 63, and 65. Mark specializes in providing investment advisory services to pooled investment vehicles, such as mutual funds and hedge funds.
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.
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.
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.
Transaction-based fee
1
2
NY
10/02/2006 - Present
Credit Suisse Securities (usa) LLC (NEW YORK NY)
NY
10/21/2005 - 10/12/2006
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
04/14/2003 - 09/13/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
10/21/2002 - 04/08/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
10/08/1998 - 10/03/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
07/31/1993 - 05/08/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
02/12/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 01/24/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/27/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/30/2001
Series 24 - General Securities Principal Examination
BC
Issued 05/23/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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