Mark R. Durham

INVESTMENT ADVISORS OF INDIANAPOLIS

INDIANAPOLIS, IN 46290

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CRD#: 1103979

Professional summary

Mark Richard Durham is a registered financial advisor currently at INVESTMENT ADVISORS OF INDIANAPOLIS INC located in Indianapolis, Indiana.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Mark has worked at 4 firms and has passed the Series 63, Series 15, Series 5, Series 3, Series 7, Series 24 and Series 8 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.

RED COBRA WRESTLING ACADEMY, MINORITY OWNER, STARTED 06/2005, TIME INVOLVED IS HOSTING A WRESTLING TOURNAMENT IN FEBRUARY. NOT INVESTMENT RELATED. ADDRESS IS HOME ADDRESS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Durham'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

November 2, 2015 - Present

INVESTMENT ADVISORS OF INDIANAPOLIS INC

Office #1: 10585 North Meridian, Suite 303, Indianapolis, IN 46290

RIA

CRD#: 109220

INDIANAPOLIS, IN

Past

February 9, 1999 - December 31, 2014

INVESTMENT ADVISORS OF INDIANAPOLIS INC

RIA

CRD#: 109220

NOBLESVILLE, IN

Past

September 2, 1988 - November 27, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

February 15, 1988 - September 14, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

March 22, 1983 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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

Indiana
(11/2/2015)

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

Series 63

Date: 3/31/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 8/25/1989

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 7/25/1989

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 5/3/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/30/1989

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 4/24/1987

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

INVESTMENT ADVISORS OF INDIANAPOLIS INC

CRD#: 109220 / SEC#: 801-37959

RIA

Registered Investment Advisory firm - (6/25/2012 Terminated)

Indiana

Registered Investment Advisory firm - (11/2/2015 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

9302 North Meridian Street Suite 333, Indianapolis, IN 46260

Mailing Address

Phone number

(317) 574-8005

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	124
AUM (Assets Under Management)	$ 106,057,894

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. Durham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Durham's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT ADVISORS OF INDIANAPOLIS INC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/31/1983

Series 15

Date: 8/25/1989

Series 5

Date: 7/25/1989

Series 3

Date: 5/3/1983

Series 7

Date: 3/19/1983

Series 24

Date: 3/30/1989

Series 8

Date: 4/24/1987

Current Firm

INVESTMENT ADVISORS OF INDIANAPOLIS INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVESTMENT ADVISORS OF INDIANAPOLIS INC

TRUST BUT VERIFY

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