Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Kenneth Brown is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Mark has been in the financial services industry since September 2, 2010. Mark is registered with the state of California and Texas as an investment advisor representative. Mark is also registered with the state of Arizona, California, Colorado, Nevada, New York, and Texas as a broker-dealer. Mark's current firm, Merrill Lynch, Pierce, Fenner & Smith Inc. is a large firm that manages over $1 trillion in assets for a wide variety of clients, including individuals, high net worth individuals, corporations, and institutions. Mark has a strong track record of providing financial advice and investment services to 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.
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
CA
06/03/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CARLSBAD CA)
CA
09/02/2010 - 04/09/2013
MORGAN STANLEY (CARLSBAD CA)
BOTH
Issued 09/16/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 09/01/2010
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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