Mark W. Sanborn
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 Wilson Sanborn, who also goes by Mark Sanborn, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 7 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
Education
Syracuse University
BS - Mechanical Engineering
1982
UNC Kenan-Flagler Business School
MBA - Finance
1986
Experience
June 18, 2021 - July 28, 2025
UBS SECURITIES LLC
July 21, 2017 - October 30, 2024
UBS FINANCIAL SERVICES INC.
February 8, 1996 - August 25, 2003
LEHMAN BROTHERS INC.
February 7, 1995 - May 25, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 1988 - April 7, 1993
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 8/31/2020
Securities Trader ExamCurrent Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
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Company Information
UBS SECURITIES LLC
Head of Investment Platforms & Solutions (IPS) Americas, Global Wealth Management at UBSCRD#: 7654TRUST BUT VERIFY
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