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Mark Richard Elliott

NC Securities, LLC

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About Mark Richard Elliott

Mark Richard Elliott is a securities professional with over 20 years of experience in the financial services industry. Mark is currently registered with NC Securities, LLC. Mark holds licenses for Series 7, 63, 65 and 66. Mark is committed to providing clients with personalized financial advice and guidance.

Firm Information

Mark Elliott is currently registered with NC Securities, LLC. NC Securities, LLC is a Limited Liability Company formed in Maryland on September 28, 2005. The firm is registered with the SEC and in Maryland.

Not reported

Assets Under Management

Not reported

Total Clients

11

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.

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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Mark Elliott’s Registration & Firm History

MD

09/19/2023 - Present

NC Securities, LLC (EASTON MD)

IL

07/03/2012 - 08/10/2015

CREDIT SUISSE SECURITIES (USA) LLC (NORTHBROOK IL)

CA

05/10/2010 - 12/21/2010

MORGAN STANLEY SMITH BARNEY (NEWPORT BEACH CA)

MI

10/20/2006 - 03/28/2007

UBS FINANCIAL SERVICES INC. (BIRMINGHAM MI)

MI

11/01/2004 - 09/29/2006

FIFTH THIRD SECURITIES, INC. (SOUTHFIELD MI)

IL

11/10/2003 - 10/22/2004

NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)

NY

01/01/2002 - 06/10/2003

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/21/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/01/2021

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 01/08/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/19/2023

Series 7TO - General Securities Representative Examination

BC

Issued 12/22/2020

SIE - Securities Industry Essentials Examination

BC

Issued 05/07/2010

Series 7 - General Securities Representative Examination

BC

Issued 11/30/2001

Series 31 - Futures Managed Funds Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mark Richard Elliott.
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