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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Stephen Sorrell is a financial advisor who has been in the industry for over 20 years. Mark Sorrell is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Mark Sorrell previously worked at Barclays Capital Inc. and Sanford C. Bernstein & Co., LLC. Mark Sorrell specializes in providing investment advisory services to individuals, businesses, and institutions. Mark Sorrell holds Series 3, 7, 22, 31 and 66 licenses and the SIE exam. Mark Sorrell is also a registered Investment Advisor in the state of Texas.
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
TX
09/09/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
05/14/2009 - 09/10/2015
BARCLAYS CAPITAL INC. (HOUSTON TX)
TX
04/18/2005 - 12/26/2008
SANFORD C. BERNSTEIN & CO., LLC (HOUSTON TX)
NA
11/18/1983 - 08/04/1986
HORNE SECURITIES CORPORATION
BOTH
Issued 05/26/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/08/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2014
Series 3 - National Commodity Futures Examination
BC
Issued 05/03/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/15/2005
Series 7 - General Securities Representative Examination
BC
Issued 11/17/1983
Series 22 - Direct Participation Programs 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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