Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Whitworth has been in the financial services industry since August 21, 1998. Mark is currently registered with J.p. Morgan Securities LLC as a broker and an investment advisor representative. Mark is also registered as a broker and an investment advisor representative with HSBC Securities (USA) Inc., Morgan Stanley & Co. LLC, Barclays Capital Inc., and Lehman Brothers Inc. Mark has passed the Series 3, Series 63, Series 7, and SIE exams. Mark's specializations include asset allocation, fixed income securities, mutual funds, options, and retirement planning.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
MA
09/15/2021 - Present
J.p. Morgan Securities LLC (BOSTON MA)
MA
03/21/2017 - 08/30/2021
HSBC SECURITIES (USA) INC. (BOSTON MA)
MA
09/09/2010 - 11/10/2016
MORGAN STANLEY & CO. LLC (BOSTON MA)
IL
09/22/2008 - 05/26/2010
BARCLAYS CAPITAL INC. (CHICAGO IL)
IL
12/15/1997 - 09/22/2008
LEHMAN BROTHERS INC. (CHICAGO IL)
BC
Issued 08/27/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/09/2003
Series 3 - National Commodity Futures Examination
BC
Issued 12/11/1997
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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