Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Bailey is a financial advisor with over 35 years of experience in the industry. Mark is currently registered with RBC Capital Markets, LLC and has been with the firm since 2008. Prior to this, Mark was with DAIN RAUSCHER INCORPORATED. Mark holds Series 3, 7, and 63 licenses, and is also licensed to sell securities in 43 states and is an Investment Advisor Representative in Washington and 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
WA
01/23/1996 - Present
RBC Capital Markets, LLC (SEATTLE WA)
NA
11/03/1994 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NY
12/15/1988 - 11/03/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
03/20/1985 - 01/02/1989
SHEARSON LEHMAN HUTTON INC.
IA
Issued 01/20/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/1985
Series 3 - National Commodity Futures Examination
BC
Issued 03/16/1985
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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