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Mark Lloyd Fulton

Ubs Financial Services Inc.

Annapolis, MD

Rockland, ME

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-12-21
ME RA APPROVED 2022-12-20
TX RA APPROVED_RES 2019-08-05
MD RA APPROVED 2010-10-25
DC RA APPROVED 2010-10-18
  • FL RA
    APPROVED
    Since 2022-12-21
  • ME RA
    APPROVED
    Since 2022-12-20
  • TX RA
    APPROVED_RES
    Since 2019-08-05
  • MD RA
    APPROVED
    Since 2010-10-25
  • DC RA
    APPROVED
    Since 2010-10-18

Branch Locations

3 Park Place 3Rd Floor, Annapolis, MD 21401 • United States

Rockland, ME • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Annapolis MD 11/2013 Present
Previous Registrations
  • 2006-07-07 → 2010-10-04
    Wells Fargo Clearing Services, Llc
    Columbia, MD
    Severna Park, MD
    Columbia, MD
    Severn, MD
    Severn, MD
    Columbia, MD
    Columbia, MD
  • 2002-03-08 → 2006-07-05
    Banc Of America Investment Services, Inc.
    Annapolis, MD
    Annapolis, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-02-14
S63 Uniform Securities Agent State Law Examination 1996-10-28
  • S66 Uniform Combined State Law Examination
    2002-02-14
  • S63 Uniform Securities Agent State Law Examination
    1996-10-28

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · ANNAPOLIS, MD
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ANNAPOLIS, MD
CETERA INVESTMENT ADVISERS LLC · Annapolis, MD
RCS FINANCIAL PLANNING, LLC · ANNAPOLIS, MD
AMERIPRISE FINANCIAL SERVICES, LLC · Annapolis, MD
MARINER INDEPENDENT · Annapolis, MD
EQUITABLE ADVISORS, LLC · ANNAPOLIS, MD
WELLS FARGO CLEARING SERVICES, LLC · ANNAPOLIS, MD

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