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Mark Serby

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Florham Park, NJCRD #1892325Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
37 yrs
States Registered
27 states
Exams Passed
9

Registrations & licenses

Registration type
Dual-registered
Registered in 27 states
AlabamaArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIndianaMarylandMassachusettsMichiganMinnesotaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaPennsylvaniaPuerto RicoRhode IslandSouth CarolinaTennesseeTexasVirginiaWashingtonWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/3/1992
Series 63
Uniform Securities Agent State Law Examination
Passed 12/7/1989
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 12/18/1989
Series 7
General Securities Representative Examination
Passed 11/19/1988
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 24
General Securities Principal Examination
Passed 2/2/2005
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 4/16/1992

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

RBC Capital Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLCCurrent
10/24/2025Florham Park, NJ
RBC CAPITAL MARKETS, LLCCurrent
10/24/2025Boonton, NJ
WELLS FARGO ADVISORS
2/1/201610/29/2025Florham Park, NJ
STIFEL, NICOLAUS & COMPANY, INCORPORATED
8/21/200711/10/2015Florham Park, NJ
RYAN BECK & CO.
10/22/20048/21/2007Florham Park, NJ

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Mark Serby has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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