Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Joseph Marks is an active investment advisor representative with Wells Fargo Clearing Services, LLC. Matthew has been in the industry since 1997 and holds various licenses and registrations including Series 6, 7, 9, 10, 63, and 65. Matthew has previously worked with Morgan Stanley, Wells Fargo Advisors, LLC, Raymond James & Associates, Inc., Oppenheimer & Co. Inc., and Citigroup Global Markets Inc.
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.
Investment consulting services to institutional clients
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.
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2
MO
06/27/2024 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
NC
06/02/2016 - 12/06/2016
MORGAN STANLEY (CORNELIUS NC)
SC
01/10/2014 - 06/02/2016
WELLS FARGO ADVISORS, LLC (COLUMBIA SC)
FL
08/15/2013 - 01/08/2014
RAYMOND JAMES & ASSOCIATES, INC. (SARASOTA FL)
NC
12/21/2009 - 08/19/2013
OPPENHEIMER & CO. INC. (ASHEVILLE NC)
NC
06/01/2009 - 12/19/2009
MORGAN STANLEY SMITH BARNEY (ASHEVILLE NC)
NC
10/31/1997 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ASHEVILLE NC)
MD
04/11/1997 - 10/17/1997
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
IA
Issued 10/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/22/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/22/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/18/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/1998
Series 7 - General Securities Representative Examination
BC
Issued 04/10/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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