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Mark Serby

Wells Fargo Clearing Services, LLC

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About Mark Serby

Mark Serby is a financial advisor who has been in the industry since 1989. Mark has a long history in the industry, having worked for several firms including Stifel, Nicolaus & Company, Incorporated and Wells Fargo Advisors LLC. Mark's experience provides him with the expertise to offer financial advice and guidance to his clients. Mark is currently registered with Wells Fargo Clearing Services, LLC in New Jersey and Texas. Mark specializes in providing financial planning and investment consulting services to institutional and individual clients.

Firm Information

Mark Serby is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Mark Serby’s Registration & Firm History

NJ

04/18/2019 - Present

Wells Fargo Clearing Services, LLC (FLORHAM PARK NJ)

NJ

08/21/2007 - 11/10/2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED (FLORHAM PARK NJ)

NJ

04/29/2002 - 08/21/2007

RYAN BECK & CO. (FLORHAM PARK NJ)

NY

02/27/1998 - 05/13/2002

GRUNTAL & CO., L.L.C. (NEW YORK NY)

NJ

08/03/1993 - 03/13/1998

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

07/31/1993 - 08/20/1993

SMITH BARNEY SHEARSON INC. (NEW YORK NY)

NY

11/06/1989 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

CO

11/23/1988 - 11/20/1989

THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)

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Licenses & Designations

IA

Issued 09/03/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/07/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/02/2005

Series 24 - General Securities Principal Examination

BC

Issued 04/16/1992

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/18/1989

Series 3 - National Commodity Futures Examination

BC

Issued 11/19/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 2 public disclosures for Mark Serby. Review regulatory record here.
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