Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Fitzpatrick is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Mark has been in the industry since 1984 and has held previous roles with Prudential Securities Incorporated, Aubrey G. Lanston & Co., Inc., The Nikko Securities Co. International, Inc., Smith Barney Inc., Barclays de Zoete Wedd Securities Inc. and Salomon Brothers Inc. Mark is licensed to conduct business in 24 states and holds several industry certifications, including the Series 7, 63, 66, 24, and SIE exams. Mark specializes in providing investment advice to individuals, businesses, corporations, investment companies, pension and profit-sharing plans, insurance companies, charitable organizations, and state or municipal government entities. Mark's approach to investment management is based on a thorough understanding of client needs and goals. Mark is committed to providing personalized service and working closely with clients to develop and implement investment strategies that are aligned with their individual objectives.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
10/27/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GARDEN CITY NY)
NY
05/22/2000 - 12/01/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/22/1998 - 03/27/2000
AUBREY G. LANSTON & CO., INC. (NEW YORK NY)
NY
01/09/1998 - 09/25/1998
THE NIKKO SECURITIES CO. INTERNATIONAL, INC. (NEW YORK NY)
NY
03/12/1996 - 12/20/1997
SMITH BARNEY INC. (NEW YORK NY)
NY
09/08/1989 - 03/19/1996
BARCLAYS DE ZOETE WEDD SECURITIES INC. (NEW YORK NY)
NY
09/21/1983 - 07/15/1989
SALOMON BROTHERS INC. (NEW YORK NY)
BOTH
Issued 04/11/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/15/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/02/1990
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/1984
Series 5 - Interest Rate Options Examination
BC
Issued 09/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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