Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Robert Phillips is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Mark has been in the industry since 2007. Mark is registered in 53 states and the District of Columbia for securities and in 2 states for investment advising. Mark previously worked with Citigroup Global Markets Inc., ScotTrade, Inc., Ameriprise Financial Services, Inc., and IDS Life Insurance Company.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
IL
05/30/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROLLING MEADOWS IL)
IL
03/07/2016 - 03/09/2018
SCOTTRADE, INC. (CHICAGO IL)
IL
05/29/2007 - 12/31/2014
CITIGROUP GLOBAL MARKETS INC. (BLOOMINGDALE IL)
IL
03/08/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (BLOOMINGDALE IL)
MN
07/19/2005 - 10/12/2005
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
07/19/2005 - 10/12/2005
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 08/02/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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