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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 Tayler Southwell is a financial advisor with over 25 years of experience in the financial services industry. Mark has a strong background in investments and has worked with a variety of clients, including individuals, families, businesses, and institutions. Mark holds multiple licenses and certifications, including the Series 6, 7, 9, 10, 31, and 66. Mark is a Certified Financial Planner and is committed to providing personalized financial advice to help clients reach their financial goals. Mark is currently affiliated with Raymond James & Associates, Inc. and is located in McAllen, 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.
Comprehensive financial plans to help you achieve your personal and business 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.
Please see note in schedule d - miscellaneous
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
06/17/2016 - Present
Raymond James & Associates, Inc. (McAllen TX)
TX
06/01/2009 - 07/15/2016
MORGAN STANLEY (MCALLEN TX)
TX
01/16/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MCALLEN TX)
TX
08/30/1999 - 01/22/2008
A. G. EDWARDS & SONS, INC. (MCALLEN TX)
TX
05/30/1997 - 08/19/1999
VAN KAMPEN FUNDS INC. (HOUSTON TX)
BOTH
Issued 02/23/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/02/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/06/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/13/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 02/12/1998
Series 7 - General Securities Representative Examination
BC
Issued 05/29/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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