Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Markis has been in the financial services industry since April 4, 1999. Paul Markis is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Paul Markis has been associated with this firm since December 2014. Previous firms that Paul Markis was associated with include MORGAN STANLEY, AVALON SECURITIES, LTD., BENCHMARQ TRADING PARTNERS LLC, DIMENSION BROKERAGE, LLC, MELLON SECURITIES LLC, LADENBURG, THALMANN & CO., INC., HSBC SECURITIES, INC. and OPPENHEIMER & CO., 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.
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
NY
07/28/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BROOKLYN NY)
NY
06/30/2011 - 11/13/2014
MORGAN STANLEY (NEW YORK NY)
NY
12/14/2010 - 05/23/2011
AVALON SECURITIES, LTD. (NEW YORK NY)
NY
04/29/2011 - 05/18/2011
BENCHMARQ TRADING PARTNERS LLC (NEW YORK NY)
NY
02/12/2008 - 01/27/2009
DIMENSION BROKERAGE, LLC (NEW YORK NY)
NY
03/06/2000 - 10/03/2006
MELLON SECURITIES LLC (NEW YORK NY)
NY
07/01/1997 - 01/19/1999
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NY
08/13/1993 - 06/15/1995
HSBC SECURITIES, INC. (NEW YORK CITY NY)
NY
08/30/1991 - 08/10/1992
OPPENHEIMER & CO., INC. (NEW YORK NY)
BOTH
Issued 08/12/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/15/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2004
Series 4 - Registered Options Principal Examination
BC
Issued 11/13/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 08/28/1991
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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