Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Jeffrey Specker is a financial advisor currently registered with UBS Financial Services Inc. Mark has been in the financial industry since 2004 and has a history of working with OTR Global Trading LLC, W.R. Hambrecht + Co., LLC, and Soundview Technology Corporation. Mark holds the Series 66, Series 24, SIE, and Series 7 licenses. Mark is registered in 42 states and 3 Canadian provinces.
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
MN
06/28/2012 - Present
UBS Financial Services Inc. (WAYZATA MN)
NY
11/06/2009 - 10/19/2011
OTR GLOBAL TRADING LLC (PURCHASE NY)
CA
01/27/2004 - 02/07/2006
W.R. HAMBRECHT + CO., LLC (SAN FRANCISCO CA)
CT
06/02/2000 - 01/22/2004
SOUNDVIEW TECHNOLOGY CORPORATION (OLD GREENWICH CT)
BOTH
Issued 04/18/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/24/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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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