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Mark Piety Catron

Wells Fargo Clearing Services, LLC

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About Mark Piety Catron

Mark Catron is an active Registered Representative and Investment Advisor Representative with over 30 years of experience in the financial services industry. Mark has been with Wells Fargo Clearing Services, LLC since November 2018, but previously worked at SunTrust Investment Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and UBS Financial Services Inc. Mark holds licenses for Series 7, Series 24, Series 63 and Series 65 exams. Mark has extensive experience in providing portfolio management for individuals and businesses, and investment consulting services to institutional clients.

Firm Information

Mark Catron is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Mark Catron’s Registration & Firm History

VA

12/03/2018 - Present

Wells Fargo Clearing Services, LLC (ROANOKE VA)

VA

11/16/2010 - 12/03/2018

SUNTRUST INVESTMENT SERVICES, INC. (HARRISONBURG VA)

VA

08/31/2007 - 11/17/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTESVILLE VA)

VA

06/25/2003 - 09/04/2007

WACHOVIA SECURITIES, LLC (CHARLOTTESVILLE VA)

NJ

02/02/2001 - 06/27/2003

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

MO

10/01/2000 - 02/13/2001

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

NC

04/20/1993 - 10/01/2000

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

NA

04/05/1993 - 04/08/1993

FIRST UNION BROKERAGE SERVICES, INC.

NY

03/12/1991 - 04/07/1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 05/21/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/25/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/07/1997

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/11/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 6 public disclosures for Mark Piety Catron. Review regulatory record here.
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