Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Eugene Mattingly is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Mark has been in the financial services industry since 1998. Mark has a strong background in investment management, with experience working with individuals, corporations, and other institutions. Mark holds the Series 7, Series 31, Series 63, and Series 65 licenses. Mark has worked at several other financial institutions, including J.P. Morgan Securities LLC, UBS Financial Services Inc., Citigroup Global Markets Inc., A.G. Edwards & Sons, Inc. and Bear, Stearns & Co. Inc.
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
NV
09/29/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (INCLINE VILLAGE NV)
CA
03/20/2009 - 10/03/2017
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
NJ
05/23/2003 - 04/02/2009
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
10/13/2000 - 06/03/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MO
05/05/1999 - 10/17/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
04/15/1998 - 04/05/1999
BEAR, STEARNS & CO. INC. (NEW YORK NY)
IA
Issued 01/16/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/30/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/14/1998
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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