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MATTHEW JOSEPH MARKS
MATHEW J MARKS
CRD#: 2681678
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6000 FAIRVIEW RD STE 800
CHARLOTTE, NC 28210
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 2009 (11 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - 2014 (<1 year)2 FIRMS2014 - 2016 (2 years)2 FIRMS2016 - 2016 (<1 year)2 FIRMS2016 - Present (8 years)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)1997 - 1997 (<1 year)
License(s)

State Registrations

IA
North Carolina 12/20/2016

B
South Carolina 7/25/2019

B
North Carolina 12/21/2016

IA
South Carolina 6/27/2024

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
6000 FAIRVIEW RD STE 800, CHARLOTTE, NC 28210
Fort Mill, SC
Registered with this firm since 12/20/2016

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6000 FAIRVIEW RD STE 800, CHARLOTTE, NC 28210
Fort Mill, SC
Registered with this firm since 12/20/2016

Previous Registration(s)
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IA
06/07/2016 - 12/06/2016 MORGAN STANLEY (CRD#:149777) CORNELIUS, NC
B
06/02/2016 - 12/06/2016 MORGAN STANLEY (CRD#:149777) CORNELIUS, NC
IA
01/13/2014 - 06/02/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) COLUMBIA, SC
B
01/10/2014 - 06/02/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) COLUMBIA, SC
IA
08/29/2013 - 01/08/2014 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) SARASOTA, FL
B
08/15/2013 - 01/08/2014 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) SARASOTA, FL
IA
12/21/2009 - 08/19/2013 OPPENHEIMER & CO. INC. (CRD#:249) ASHEVILLE, NC
B
12/21/2009 - 08/19/2013 OPPENHEIMER & CO. INC. (CRD#:249) ASHEVILLE, NC
IA
06/01/2009 - 12/19/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) ASHEVILLE, NC
B
06/01/2009 - 12/19/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) ASHEVILLE, NC
IA
11/06/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ASHEVILLE, NC
B
10/31/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ASHEVILLE, NC
B
04/11/1997 - 10/17/1997 T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348) BALTIMORE, MD
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B
Broker
IA
Investment Adviser
Disclosures
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.