Individual Firm
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MARK RICHARD FRENCH
MARK RICHARD RICHARD FRENCH
CRD#: 2042665
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 941 Houston Northcutt Blvd
Suite 100
Mt. Pleasant, SC 29464
Suite 100
Mt. Pleasant, SC 29464
View By:
3/30/2022
Customer Dispute
Settled
State Registrations
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Arizona 3/30/2016
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North Carolina 9/16/2015
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California 9/16/2015
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Ohio 9/23/2015
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Colorado 9/16/2015
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Oregon 9/16/2015
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Florida 9/16/2015
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South Carolina 9/16/2015
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Georgia 9/16/2015
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South Carolina 9/17/2015
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Illinois 5/18/2023
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Tennessee 6/25/2020
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Maine 12/15/2022
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Texas 3/29/2016
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Maryland 9/16/2015
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Texas 4/4/2016
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Massachusetts 3/30/2018
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Virginia 9/16/2015
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New Jersey 9/16/2015
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Washington 9/16/2015
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New York 9/16/2015
SRO Registrations
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Registered with this firm since 9/17/2015
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Registered with this firm since 9/16/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2013 - 09/24/2015 | MT. PLEASANT, SC | |
B | 01/02/2013 - 09/24/2015 | MT. PLEASANT, SC | |
IA | 06/07/2004 - 01/02/2013 | MT. PLEASANT, SC | |
B | 08/15/2001 - 01/02/2013 | MT. PLEASANT, SC | |
B | 09/24/1998 - 09/13/2001 | AUSTIN, TX | |
B | 12/18/1997 - 09/17/1998 | IRVINE, CA | |
B | 06/22/1994 - 03/29/1995 | RENO, NV | |
B | 02/03/1992 - 07/09/1993 | GREENWOOD VILLAGE, CO | |
B | 03/20/1990 - 02/14/1991 | GREENWOOD VILLAGE, CO |
IRVINE, CA
12/18/1997 - 09/17/1998
RENO, NV
06/22/1994 - 03/29/1995
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.