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 Otta is a registered representative of RBC Capital Markets, LLC. Mark has been in the securities industry since April 24, 1995. Mark is also a registered investment advisor representative of RBC Capital Markets, LLC. Mark has specialized in a variety of services including portfolio management for individuals and businesses, financial planning, and pension consulting. Mark has been with RBC Capital Markets, LLC since March 2008 and has a total of 22 years of experience in the securities industry.
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
CA
02/05/2015 - Present
RBC Capital Markets, LLC (FRESNO CA)
CA
04/14/1998 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
04/05/1995 - 03/24/1998
SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 04/18/1995
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/17/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/03/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/03/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/03/1995
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
Not sure Mark Otta is the right advisor for you? Invested Better is here to help.
