Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark S. Peters is a financial advisor with over 10 years of experience in the financial services industry. Mark currently works at Wells Fargo Securities, LLC. Previously, Mark worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, SUNTRUST INVESTMENT SERVICES, INC., AXA ADVISORS, LLC, RBC CAPITAL MARKETS CORPORATION and AMERIPRISE FINANCIAL SERVICES, INC.. Mark is registered with FINRA as a General Securities Representative and has passed the Securities Industry Essentials Examination.
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.
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2
NC
03/20/2017 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NC
09/16/2011 - 06/01/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
06/02/2011 - 09/02/2011
SUNTRUST INVESTMENT SERVICES, INC. (MATTHEWS NC)
NC
12/26/2008 - 06/09/2009
AXA ADVISORS, LLC (CHARLOTTE NC)
NC
08/08/2007 - 09/26/2008
RBC CAPITAL MARKETS CORPORATION (CHARLOTTE NC)
NC
07/18/2007 - 08/21/2007
AMERIPRISE FINANCIAL SERVICES, INC. (GREENVILLE NC)
BOTH
Issued 12/29/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/21/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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