Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Richard Maller is a financial advisor with over 30 years of experience in the industry. Mark is currently registered with Wells Fargo Clearing Services, LLC and has held previous roles at TD PRIVATE CLIENT WEALTH LLC, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and BANC OF AMERICA INVESTMENT SERVICES, INC. Mark has a broad range of experience in the financial services industry, including providing investment advisory and financial planning services to individuals, businesses, and institutional clients.
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.
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.
Investment consulting services to institutional clients
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
FL
11/03/2015 - Present
Wells Fargo Clearing Services, LLC (PALM BEACH FL)
FL
05/28/2013 - 07/24/2015
TD PRIVATE CLIENT WEALTH LLC (FT. LAUDERDALE FL)
FL
01/11/2010 - 05/16/2013
CITIGROUP GLOBAL MARKETS INC. (MIAMI FL)
FL
10/23/2009 - 12/17/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FORT LAUDERDALE FL)
FL
04/06/2001 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (FORT LAUDERDALE FL)
MA
04/01/1998 - 04/29/1998
NATIONSBANC INVESTMENTS, INC. (BOSTON MA)
FL
01/08/1997 - 04/01/1998
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
NC
12/03/1996 - 01/28/1997
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
FL
02/03/1994 - 12/13/1996
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
NA
06/07/1993 - 02/04/1994
NATIONSSECURITIES
MA
02/19/1991 - 06/07/1993
NATIONSBANC SECURITIES, INC. (BOSTON MA)
NY
04/29/1987 - 02/21/1991
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
BOTH
Issued 12/20/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/11/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/09/2003
Series 4 - Registered Options Principal Examination
BC
Issued 08/02/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/18/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 07/27/2022
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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