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Mark Arthur Hanna

CRD# 1411777·Registered 1985 - 1998
Barred: Mark Arthur Hanna was barred by both the FINRA and the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Mark Arthur Hanna was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1985 - 1998. Mark had worked at 6 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

41 years in the financial services industry

Current & Past Employments

H G I·CRD# 14079
BD
Jericho, NY
September 1, 1992 - January 28, 1998
AMERICAN INVESTMENT SERVICES, INC.·CRD# 21111
BD
Oklahoma City, OK
November 6, 1991 - May 20, 1992
STRATTON OAKMONT INC.·CRD# 18692
BD
Lake Success, NY
July 11, 1989 - November 12, 1991
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
February 8, 1988 - June 3, 1989
CIBC WORLD MARKETS CORP.·CRD# 630
BD
January 29, 1988 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED·CRD# 501
BD
September 30, 1985 - February 18, 1988

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Current Firm

HG
H G I

DISCOUNT INVESTMENT CORP. | THE HARRIMAN GROUP, INC. | THE BAXTER GROUP, INC. | HARMONY SECURITIES,LTD. | H G I

CRD#: 14079 / SEC#: 8-30233
BD
Cancelled by SEC on 10/04/2006

Contact Information

Established

Wisconsin since 06/15/1983

Firm Type

Corporation

Fiscal Year End

June

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1985About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1985About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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