Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Stephen Buckman is a registered investment advisor representative with Family Investment Management LP in Carlsbad, CA. Mark has been in the financial services industry since 1989 and has experience working with high-net-worth individuals, corporations, and individuals other than high-net-worth clients. Mark offers a variety of services including financial planning, pension consulting, and portfolio management. Mark also has experience working with UBS Financial Services Inc., Dean Witter Reynolds Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prudential Securities Incorporated, and Lehman Brothers Inc.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
CA
10/06/2023 - Present
Family Investment Management LP (CARLSBAD CA)
NJ
12/15/2000 - 10/02/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
05/19/1998 - 12/22/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
03/02/1995 - 05/05/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/26/1992 - 12/21/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
09/19/1989 - 11/19/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 07/20/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/28/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/23/1989
Series 3 - National Commodity Futures Examination
BC
Issued 09/16/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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