Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Siegel is a financial professional with over 34 years of experience in the industry. He has been with UBS Financial Services Inc. since December 2022 and is registered as a Registered Representative in District of Columbia, Maryland and Texas. Prior to UBS Financial Services Inc., Mark was associated with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED for over 33 years until December 2022. Mark offers a range of services including financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses and portfolio management for individuals.
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
DC
12/12/2022 - Present
UBS Financial Services Inc. (WASHINGTON DC)
DC
08/23/1989 - 12/15/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WASHINGTON DC)
IA
Issued 10/15/1990
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/1/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/19/1989
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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