Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Allan Hauser is a financial advisor with over 30 years of experience in the industry. Mark has worked for several prominent firms, including Bear, Stearns & Co. Inc., Smith Barney, Harris Upham & Co., Incorporated, and Oppenheimer & Co. Inc. He has a wide range of experience and expertise in providing financial advice to individuals, corporations, and other entities. Mark is also registered with the Securities and Exchange Commission (SEC) and holds several industry certifications. Mark holds a Series 63 and Series 65 license and has passed 12 other industry examinations including Series 7, Series 3, Series 4, Series 9, Series 10, Series 12, Series 24, and Series 52.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NY
04/07/2021 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
02/05/1991 - 01/02/2002
PRIME CHARTER LTD. (NEW YORK NY)
NY
08/31/1990 - 01/30/1991
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NY
05/10/1989 - 08/24/1990
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
02/08/1988 - 07/15/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
01/20/1988 - 02/18/1988
L. F. ROTHSCHILD & CO. INCORPORATED
NA
05/15/1987 - 10/19/1987
TROSTER SINGER CORPORATION
NA
09/24/1986 - 04/21/1987
FRED ALGER & COMPANY, INCORPORATED
IA
Issued 3/21/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/4/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 2/5/2002
Series 12 - NYSE Branch Manager Examination
BC
Issued 5/8/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 9/23/1997
Series 4 - Registered Options Principal Examination
BC
Issued 2/6/1997
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/19/1988
Series 3 - National Commodity Futures Examination
BC
Issued 9/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
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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