Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Steven Phillips is a financial advisor with Wells Fargo Clearing Services, LLC. Mark has been in the industry for 17 years. Mark is registered in Delaware, District of Columbia, Maryland, New York and Virginia. Mark holds the Series 3, Series 7, Series 9, Series 10, Series 63 and Series 66 licenses. Mark has previous experience at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley and Citigroup Global Markets 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.
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.
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2
VA
06/21/2022 - Present
Wells Fargo Clearing Services, LLC (ALEXANDRIA VA)
MD
04/12/2016 - 05/21/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ANNAPOLIS MD)
MD
06/01/2009 - 04/08/2016
MORGAN STANLEY (BALTIMORE MD)
DC
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WASHINGTON DC)
MD
09/05/2005 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BOTH
Issued 02/19/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/19/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/19/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/30/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/2010
Series 3 - National Commodity Futures Examination
BC
Issued 09/03/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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