Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Fulton is a financial advisor currently registered with UBS Financial Services Inc. Mark is a veteran advisor, having started in the industry on August 22, 1995. Mark has been with UBS Financial Services Inc. since November 2013. Prior to joining UBS Financial Services Inc., Mark was registered with WELLS FARGO ADVISORS, LLC and BANC OF AMERICA INVESTMENT SERVICES, INC.. Mark is licensed to provide investment advice and services in multiple states. Mark has passed the Series 6, Series 7, Series 63 and Series 66 securities exams. Mark also passed the Securities Industry Essentials Exam (SIE).
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
MD
08/05/2019 - Present
UBS Financial Services Inc. (ANNAPOLIS MD)
MD
07/07/2006 - 10/04/2010
WELLS FARGO ADVISORS, LLC (COLUMBIA MD)
MD
11/22/2000 - 07/05/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (ANNAPOLIS MD)
CA
08/10/1995 - 11/09/2000
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
BOTH
Issued 02/14/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/28/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/1996
Series 7 - General Securities Representative Examination
BC
Issued 08/09/1995
Series 6 - Investment Company Products/Variable Contracts 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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