Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Straubel is a financial professional with over 20 years of experience in the securities industry. Mark holds several licenses and designations, including Series 3, 4, 7, 9, 10, 14, 24, 55, 57TO, 63, 99TO, and SIE. Mark is currently registered with UBS Securities LLC. Mark has previously held positions at Barclays Capital Inc., Nomura Securities International, Inc., BANC of America Securities LLC, Pershing LLC, Credit Suisse First Boston LLC, Donaldson, Lufkin & Jenrette Securities Corporation, and Win Capital Corp.
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.
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.
1
2
NY
07/22/2019 - Present
UBS Securities LLC (NEW YORK NY)
NY
03/15/2013 - 12/18/2018
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
07/27/2009 - 03/19/2013
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
12/06/2005 - 08/03/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NJ
08/26/2003 - 11/15/2005
PERSHING LLC (JERSEY CITY NJ)
NY
08/02/2002 - 08/26/2003
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NJ
09/28/2000 - 08/13/2002
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
03/20/2000 - 09/15/2000
WIN CAPITAL CORP. (BAYVILLE NY)
BC
Issued 03/30/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/30/2023
Series 14 - Compliance Officer Examination
BC
Issued 05/18/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/05/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/01/2000
Series 24 - General Securities Principal Examination
BC
Issued 03/24/2000
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2008
Series 3 - National Commodity Futures Examination
BC
Issued 08/16/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/17/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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