Marvin K. 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.
Marvin Kenneth Harrell, who also goes by Ken Harrell, Mark Kenneth Harrell, was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1987. Marvin had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2017 - January 22, 2024
BLACKRIDGE ASSET MANAGEMENT, LLC
August 29, 2006 - November 29, 2017
SCF INVESTMENT ADVISORS, INC.
November 22, 2005 - January 15, 2011
SCF SECURITIES, INC.
April 7, 2005 - November 29, 2017
SCF SECURITIES, INC.
February 20, 2003 - September 28, 2004
CENTAURUS FINANCIAL, INC.
February 20, 2003 - September 28, 2004
CENTAURUS FINANCIAL, INC.
April 6, 2000 - December 31, 2004
EASTERN POINT ADVISORS INC.
September 7, 1995 - January 2, 2003
INVESTORS CAPITAL CORP.
March 1, 1995 - April 4, 1995
WMA SECURITIES, INC.
February 22, 1995 - February 27, 1995
WMA SECURITIES, INC.
July 20, 1993 - June 20, 1995
OSAIC WEALTH, INC.
May 12, 1993 - March 20, 1995
SENTRA SECURITIES CORPORATION
June 1, 1992 - January 29, 1993
FIRST AFFILIATED SECURITIES
November 29, 1991 - May 5, 1992
NEW ENGLAND SECURITIES
January 1, 1991 - June 21, 1991
FINANCIAL INVESTMENT ANALYSTS, INC.
November 1, 1989 - July 24, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 1, 1989 - July 24, 1990
EQUITABLE ADVISORS, LLC
January 11, 1988 - November 4, 1989
PRUCO SECURITIES, LLC.
July 24, 1987 - December 2, 1987
METROPOLITAN LIFE INSURANCE COMPANY
July 24, 1987 - December 3, 1987
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
BLACKRIDGE ASSET MANAGEMENT, LLC
CRD#: 277085 / SEC#: 801-108114
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
BLACKRIDGE ASSET MANAGEMENT, LLC
CRD#: 277085 / SEC#: 801-108114
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 826 |
| AUM (Assets Under Management) | $ 196,842,156 |
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.
