Mark S. Harrell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Steven Harrell was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2016 - January 20, 2023
FORESIDE FUND SERVICES, LLC
March 20, 2012 - June 28, 2016
ULTIMUS FUND DISTRIBUTORS, LLC
December 4, 2008 - April 26, 2010
ELECTRONIC GLOBAL SECURITIES, INC.
July 18, 2005 - May 19, 2010
VOYA INVESTMENT MANAGEMENT CO. LLC
September 18, 2001 - December 20, 2006
ING INVESTMENT MANAGEMENT SERVICES LLC
January 1, 1997 - September 24, 2001
NUVEEN SECURITIES, LLC
July 23, 1987 - January 1, 1997
FLAGSHIP FUNDS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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