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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Oconnor Obrien is a financial advisor with Raymond James & Associates, Inc., a firm with over $433 billion in assets under management. Mark has been in the industry since 1993 and holds several licenses and certifications including the Series 7, Series 52, Series 50, Series 53, and Series 79TO. Mark is registered in 10 states and specializes in providing financial planning, investment management, and portfolio management for businesses and individuals. Mark has been affiliated with Raymond James & Associates, Inc. since January 2013, previously working at MORGAN KEEGAN & COMPANY, INC. and LEWIS, DE ROZARIO & CO. INCORPORATED.
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.
Please see note in schedule d - miscellaneous
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
TX
01/02/2013 - Present
Raymond James & Associates, Inc. (DALLAS TX)
TX
11/15/1995 - 01/02/2013
MORGAN KEEGAN & COMPANY, INC. (DALLAS TX)
NA
06/25/1993 - 11/21/1995
LEWIS, DE ROZARIO & CO. INCORPORATED
BC
Issued 08/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/31/2017
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 12/30/1994
Series 7 - General Securities Representative Examination
BC
Issued 10/30/1992
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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