Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark William Murray is an investment advisor representative with UBS Financial Services Inc. Mark has been in the industry since November 1991. Mark has Series 6, 7, 63 and 65 registrations and holds the SIE designation. Mark's specializations include Fixed Income, Mutual Funds, Variable Annuities, Annuities, Life Insurance, and Retirement Planning. Mark is also registered with the states of Arizona, California, Colorado, Florida, Georgia, Illinois, Minnesota, Missouri, Nevada, North Carolina, Ohio, Tennessee, and Wisconsin.
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.
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.
See schedule d - miscellaneous
1
2
WI
06/27/2002 - Present
UBS Financial Services Inc. (MADISON WI)
NY
10/06/1994 - 07/01/2002
AXA ADVISORS, LLC (NEW YORK NY)
NY
10/06/1994 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NJ
11/15/1991 - 09/23/1994
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
11/15/1991 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 11/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/1999
Series 7 - General Securities Representative Examination
BC
Issued 11/14/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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