Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Joffrion has been in the financial industry since September 1992. Mark is currently registered with UBS Financial Services Inc. Prior to joining UBS Financial Services Inc., Mark was associated with MORGAN STANLEY and CITIGROUP GLOBAL MARKETS INC. Mark offers a variety of services, including financial planning, pension consulting, educational seminars, publication of periodicals, and selection of other advisors. Mark's expertise in the financial industry is demonstrated by their registrations in 27 states and passing of the Series 3, Series 7 and Series 63 exams, as well as the SIE and Series 65 exams.
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
TX
02/20/2015 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
06/01/2009 - 03/05/2015
MORGAN STANLEY (HOUSTON TX)
TX
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
NY
09/16/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 08/19/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/06/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/1997
Series 3 - National Commodity Futures Examination
BC
Issued 08/05/1992
Series 7 - General Securities 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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