Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Cavalier is an investment advisor representative with Ashton Thomas Private Wealth. Mark has been in the financial services industry since 1981. Mark holds the following licenses: Series 63, Series 65, Series 7, Series 24, and Series 53. Mark previously worked at Wells Fargo Advisors LLC and Wells Fargo Clearing Services, LLC.
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.
Personalized portfolio management to meet individual financial objectives.
Variable product model design and maintenance
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.
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2
AZ
01/16/2025 - Present
Ashton Thomas Private Wealth (SCOTTSDALE AZ)
CA
05/02/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
10/03/1996 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
CA
12/20/1995 - 10/01/1996
MONEY MARKET 1 INSTITUTIONAL INVESTMENT DEALER (SAUSALITO CA)
NY
07/31/1993 - 03/05/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
03/29/1983 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/24/1992 - 04/21/1993
LEHMAN GOVERNMENT SECURITIES INC.
NA
07/24/1992 - 04/21/1993
LEHMAN SPECIAL SECURITIES INC.
NA
04/13/1983 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
NA
09/29/1981 - 02/25/1983
PAINE, WEBBER, JACKSON & CURTIS INC.
IA
Issued 11/09/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/20/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/16/1992
Series 24 - General Securities Principal Examination
BC
Issued 12/13/1990
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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