Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Nussbaum is a financial advisor who has been in the industry since 1991. Mark is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2016. Mark has held previous positions with UBS Financial Services Inc. and PaineWebber Incorporated. Mark specializes in providing investment consulting services to institutional clients as well as financial planning for individuals and businesses. Mark is a Certified Financial Planner and is registered in 23 states and the District of Columbia.
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.
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.
Investment consulting services to institutional clients
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
CA
12/01/2010 - Present
Wells Fargo Clearing Services, LLC (LA JOLLA CA)
CA
12/07/1993 - 04/04/2007
UBS FINANCIAL SERVICES INC. (LA JOLLA CA)
NA
09/15/1987 - 06/17/1989
PAINEWEBBER INCORPORATED
NA
05/01/1987 - 07/23/1987
BT SECURITIES CORPORATION
IA
Issued 12/08/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/11/1988
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/1995
Series 5 - Interest Rate Options Examination
BC
Issued 12/06/1993
Series 7 - General Securities Representative Examination
BC
Issued 11/15/1993
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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