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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 Leighton has over 30 years of experience in the financial services industry. Mark is registered with Wealthpenn.comllc, which is a registered investment advisor with over $1 trillion in assets under management. Mark has a wide range of experience in providing investment advice to individuals, families, and institutions. Mark holds licenses in both Broker-Dealer and Investment Advisor designations, having passed the Series 3, 7, 9, 10, 63, and 65 exams. Mark has previously worked for Morgan Stanley Smith Barney and Morgan Stanley Private Bank, National Association.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
ME
10/12/2009 - Present
Wealthpenn.comllc (Portland ME)
ME
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PORTLAND ME)
ME
11/17/2006 - 04/02/2007
MORGAN STANLEY DW INC. (PORTLAND ME)
ME
10/07/1993 - 11/24/2006
CITIGROUP GLOBAL MARKETS INC. (PORTLAND ME)
IA
Issued 10/21/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/14/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/3/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 3/14/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/5/2008
Series 3 - National Commodity Futures Examination
BC
Issued 10/6/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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