Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark McCauley is a registered representative with Nomura Securities International, Inc. Mark has been in the securities industry since September 22, 2015 and is licensed in all states. Mark previously worked at UBS Securities LLC.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
MA
11/10/2020 - Present
Nomura Securities International, Inc. (BOSTON MA)
NY
05/13/2008 - 07/01/2013
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 10/05/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/19/2020
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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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