Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mitchell? Claim Your ProfileMitchell Markley is a financial advisor with over 20 years of experience in the industry. Mitchell currently works at UBS Financial Services Inc. and is registered with the Financial Industry Regulatory Authority (FINRA) and the state of Colorado. Mitchell has a wide range of experience, having previously worked at firms such as Morgan Stanley, Citigroup Global Markets Inc., Morgan Stanley DW Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Mitchell holds multiple licenses and designations including the Series 3, 7, 9, 10, 31 and 66. Mitchell specializes in providing financial advice to individuals, families, and businesses. Mitchell is committed to providing clients with personalized financial guidance and investment strategies to help them achieve their financial goals.
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
CO
02/21/2024 - Present
UBS Financial Services Inc. (DENVER CO)
CA
06/01/2009 - 04/02/2020
MORGAN STANLEY (SAN DIEGO CA)
CO
06/02/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ENGLEWOOD CO)
NY
08/13/2004 - 06/06/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
04/03/2003 - 01/02/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 06/16/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/03/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/24/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/28/2023
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 04/01/2003
Series 7 - General Securities 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
Not sure Mitchell Markley is the right advisor for you? Invested Better is here to help.
