Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Baumrind is a financial advisor with Wells Fargo Clearing Services, LLC. Mark has been in the financial industry for over 20 years. Mark holds multiple licenses, including Series 66, Series 63, Series 7, and Series 55. Prior to joining Wells Fargo Clearing Services, LLC, Mark was a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley. Mark has a wide range of experience in the financial industry and specializes in providing investment consulting services to institutional clients as well as financial planning and portfolio management for both individuals and businesses.
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
NY
07/20/2023 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
09/15/2014 - 07/21/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
08/29/2013 - 10/01/2014
MORGAN STANLEY (LITTLE FALLS NJ)
NY
05/16/2013 - 07/02/2013
G-2 TRADING,LLC (NEW YORK NY)
NY
05/03/2006 - 01/07/2008
OPUS TRADING FUND LLC (JERICHO NY)
NY
01/02/1996 - 03/16/2004
SCHONFELD SECURITIES, LLC (JERICHO NY)
NY
02/25/1993 - 01/02/1996
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
BOTH
Issued 09/27/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/26/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2013
Series 7 - General Securities Representative Examination
BC
Issued 11/24/1999
Series 55 - Limited Representative-Equity Trader Exam
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
Not sure Mark Baumrind is the right advisor for you? Invested Better is here to help.
