Mark R. Crawford

CRAWFORD ASSET MANAGEMENT

Glendale, WI

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CRD#: 1103829

Professional summary

Mark Robert Crawford is a registered financial advisor currently at CRAWFORD ASSET MANAGEMENT, LLC located in Glendale, Wisconsin.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Mark has worked at 9 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Robert Crawford's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 28, 2006 - Present

CRAWFORD ASSET MANAGEMENT, LLC

RIA

CRD#: 141475

Glendale, WI

Past

February 8, 2006 - September 20, 2006

HARMONY ASSET MANAGEMENT LLC

RIA

CRD#: 116069

GLENDALE, WI

Past

June 23, 2005 - December 19, 2005

QA3 FINANCIAL LLC

RIA

CRD#: 104957

THIENSVILLE, WI

Past

April 5, 2005 - December 19, 2005

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

October 8, 2003 - January 25, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

March 5, 1996 - March 20, 2003

WISCONSIN ASSET MANAGEMENT, LLC

RIA

CRD#: 106602

MEQUON, WI

Past

October 3, 1988 - February 1, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 13, 1985 - October 5, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 23, 1983 - December 9, 1985

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(6/24/2011)

IAR

Wisconsin
(8/28/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/7/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/16/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/25/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/7/2003

General Securities Representative Examination

Current Firm

CRAWFORD ASSET MANAGEMENT, LLC

CRAWFORD ASSET MANAGEMENT, LLC | HARMONY ADVISORS, LLC

CRD#: 141475 / SEC#: 801-69061

RIA

Registered Investment Advisory firm - (6/7/2011 Terminated)

Illinois

Registered Investment Advisory firm - (6/24/2011 Approved)

Wisconsin

Registered Investment Advisory firm - (6/6/2011 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Glendale, WI

Mailing Address

Phone number

(414) 964-5040

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	143
AUM (Assets Under Management)	$ 68,977,328

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Mark R. Crawford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Robert Crawford's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARMONY ASSET MANAGEMENT LLC

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

WELLS FARGO INVESTMENTS, LLC

WISCONSIN ASSET MANAGEMENT, LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 11/7/2005

Series 66

Date: 10/16/2003

Series 63

Date: 3/25/1983

Series 7

Date: 10/7/2003

Current Firm

CRAWFORD ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CRAWFORD ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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