Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Serrian is a financial advisor with Oppenheimer & Co. Inc. Mark has been in the financial services industry since 1988 and has experience working with a variety of clients, including high-net-worth individuals, corporations, and institutions. Mark is a Registered Representative and Investment Advisor Representative and holds Series 7, 9, 10, 63, 65, 99TO and SIE licenses. Mark provides financial planning and portfolio management services to clients. Previous firms he has worked for include Legg Mason Wood Walker, Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Pruco Securities Corporation, and The Prudential Insurance Company of America, and John Hancock Distributors, 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.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
PA
09/18/2006 - Present
Oppenheimer & Co. Inc. (POTTSVILLE PA)
MD
12/05/1994 - 02/02/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
12/05/1990 - 12/07/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
06/02/1989 - 10/24/1990
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
06/02/1989 - 10/24/1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
MA
12/16/1987 - 05/18/1989
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
IA
Issued 12/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/08/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/24/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/1990
Series 7 - General Securities Representative Examination
BC
Issued 12/15/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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
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