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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Simms is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Mark has over 28 years of experience in the financial services industry. Mark is registered with the state of South Carolina and Texas. Mark has a Series 7, Series 63, Series 9, Series 10, and SIE licenses. Mark holds a Series 65 license for Investment Advisor Law. Mark has specialized knowledge and experience in providing financial advice in the areas of Retirement Planning, College Savings, Estate Planning, Insurance, and Mutual 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.
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
SC
02/06/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MOUNT PLEASANT SC)
CT
06/01/2009 - 02/14/2013
MORGAN STANLEY (RIDGEFIELD CT)
CT
12/06/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (RIDGEFIELD CT)
CT
02/13/1995 - 12/14/2007
A. G. EDWARDS & SONS, INC. (RIDGEFIELD CT)
IA
Issued 01/07/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/21/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/08/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/30/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/1995
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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