Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark George Schlig is a financial advisor with over 20 years of experience in the industry. Mark is currently registered with Wells Fargo Clearing Services, LLC and has previously worked with Raymond James & Associates, Inc., Wachovia Securities, LLC, A. G. Edwards & Sons, Inc., UBS Paine Webber Inc., and Dean Witter Reynolds Inc. Mark holds the Series 7, Series 31, Series 63, and Series 65 licenses, as well as the SIE exam. Mark provides financial planning and investment consulting services to individual and institutional clients.
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.
Investment consulting services to institutional clients
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.
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2
CA
05/29/2020 - Present
Wells Fargo Clearing Services, LLC (ROLLING HILLS ESTATES CA)
CA
01/18/2008 - 06/05/2020
RAYMOND JAMES & ASSOCIATES, INC. (ROLLING HILLS ESTATES CA)
CA
01/01/2008 - 01/22/2008
WACHOVIA SECURITIES, LLC (TORRANCE CA)
CA
12/05/2001 - 01/03/2008
A. G. EDWARDS & SONS, INC. (TORRANCE CA)
NJ
11/12/1999 - 11/23/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
12/15/1997 - 12/08/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 01/14/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/30/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 12/10/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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