Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Romaine is a financial advisor with over 25 years of experience in the industry. Mark is currently registered with Arete Wealth Management, LLC in Melville, NY. Mark has been with Arete Wealth Management, LLC since July 2022. Prior to that, Mark was a registered representative with National Securities Corporation in Melville, NY from January 2020 to July 2022. Mark has also held previous positions with Wells Fargo Clearing Services, LLC, A.G. Edwards & Sons, Inc., and Continental Broker-Dealer Corp. Mark is a Series 7 and Series 63 licensed representative. Mark holds the SIE designation. Mark specializes in providing financial advice to individuals and families.
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.
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.
1
2
NY
07/20/2022 - Present
Arete Wealth Management, LLC (Melville NY)
NY
01/13/2020 - 07/21/2022
NATIONAL SECURITIES CORPORATION (MELVILLE NY)
NY
01/01/2008 - 01/16/2020
WELLS FARGO CLEARING SERVICES, LLC (HAUPPAUGE NY)
NY
03/06/1997 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SMITHTOWN NY)
NY
08/29/1995 - 07/08/1996
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
BC
Issued 02/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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