Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Falling is a financial advisor with over 27 years of experience in the industry. Mark Falling is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and has previously worked at Charles Schwab & Co., Inc., LIFEMARK SECURITIES CORP., Fidelity Brokerage Services, Inc., and EQUICO SECURITIES, INC. Mark Falling holds the Series 6, 7, 9, 10, 63, and 66 licenses.
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
TX
04/19/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TYLER TX)
TX
09/08/2011 - 04/13/2018
CHARLES SCHWAB & CO., INC. (TYLER TX)
NY
01/24/2008 - 12/19/2008
LIFEMARK SECURITIES CORP. (ROCHESTER NY)
TX
08/03/1995 - 01/25/2006
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
RI
09/16/1993 - 08/07/1995
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NY
05/11/1992 - 08/05/1993
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
05/11/1992 - 08/05/1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BOTH
Issued 09/07/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/07/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/02/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/1994
Series 7 - General Securities Representative Examination
BC
Issued 05/07/1992
Series 6 - Investment Company Products/Variable Contracts 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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