Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark James Manion is a financial advisor with over 30 years of experience in the industry. Mark is currently registered with UBS Financial Services Inc. and has a Series 7, Series 31 and Series 63 license. Mark has a specialization in portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars. Mark specializes in working with a wide variety of clients including high net worth individuals, corporations and other businesses, charitable organizations, and pension and profit-sharing plans. Previous to UBS, Mark was an advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Dain Bosworth Incorporated.
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.
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.
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.
See schedule d - miscellaneous
1
2
WI
11/09/2023 - Present
UBS Financial Services Inc. (Brookfield WI)
WI
07/27/2012 - 11/07/2023
UBS FINANCIAL SERVICES INC. (Brookfield WI)
WI
07/12/1996 - 08/06/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WAUKESHA WI)
NA
02/16/1994 - 07/17/1996
DAIN BOSWORTH INCORPORATED
BC
Issued 02/25/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 01/21/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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