Mark W. Hubbert
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark William Hubbert was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 8 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2015 - November 17, 2016
FIRST CLEARING, LLC
October 28, 2015 - July 12, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 15, 2004 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
October 1, 2000 - July 12, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
December 15, 1994 - January 1, 1996
FIRST FIDELITY BROKERS, INC.
June 21, 1989 - March 18, 1994
CITICORP INVESTMENT SERVICES
February 23, 1988 - February 23, 1989
CITICORP FINANCIAL SERVICES,INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
Red Flags
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