Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Ellis is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Mark has been working in the financial industry for over 20 years, having held positions with a number of firms including Wachovia Securities, LLC and UBS Financial Services Inc. Mark has held Series 66, Series 7 and SIE licenses and has a combined 20 years of experience. Mark is based in Westport, CT and is licensed to provide financial services in Connecticut, Florida, Massachusetts, New York, Texas and Vermont.
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
CT
04/16/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WESTPORT CT)
CT
12/01/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (FAIRFIELD CT)
MO
05/23/2005 - 10/31/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
MA
10/07/2003 - 12/06/2004
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
10/07/2003 - 12/06/2004
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NJ
09/09/2002 - 10/02/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 09/25/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2002
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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