Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Wormuth is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. He has been in the industry since 2014 and has been registered with the Financial Industry Regulatory Authority (FINRA) since 2014. Mark is licensed to provide securities and investment advisory services in Pennsylvania, Rhode Island, and Texas. He previously worked at Morgan Stanley and AllianceBernstein Investments, Inc. Mark Wormuth has passed the Series 7, Series 9, Series 10, Series 66, and SIE exams.
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
PA
09/20/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCRANTON PA)
NY
08/09/2016 - 08/16/2024
MORGAN STANLEY (Purchase NY)
NY
01/22/2014 - 06/14/2016
ALLIANCEBERNSTEIN INVESTMENTS, INC. (NEW YORK NY)
BOTH
Issued 02/21/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/02/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/29/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/2014
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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