Mark T. Harvey

MARK T. HARVEY INVESTMENTS

Anaheim Hills, CA

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CRD#: 2182566

Professional summary

Mark Todd Harvey is a registered financial advisor currently at MARK T. HARVEY INVESTMENTS located in Anaheim Hills, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Mark has worked at 8 firms and has passed the Series 65, Series 63 and Series 6 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.

1)HARVEST FINANCE AND MORTGAGE - MORTGAGE & REAL ESTATE BROKER 2) MARK HARVEY INSURANCE - FIXED INSURANCE SALES THROUGH VARIOUS INSURANCE COMPANIES.(LIFE,HEALTH,LTC,HOME, AUTO, DISABILITY). 3) Mark T. Harvey - Tax return preparation

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Todd Harvey'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

January 14, 2016 - Present

MARK T. HARVEY INVESTMENTS

RIA

CRD#: 169170

Anaheim Hills, CA

Past

December 11, 2013 - December 31, 2015

MARK T. HARVEY INVESTMENTS

RIA

CRD#: 169170

IRVINE, CA

Past

March 7, 2007 - June 4, 2009

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

IRVINE, CA

Past

July 18, 2006 - March 7, 2007

UNITED HERITAGE FINANCIAL SERVICES, INC.

CRD#: 35316

IRVINE, CA

Past

October 26, 2005 - May 22, 2006

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

April 14, 2004 - June 7, 2005

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

July 13, 2000 - October 6, 2003

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

October 27, 1999 - February 8, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

May 21, 1993 - January 22, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

October 24, 1991 - June 3, 1993

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

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

California
(1/14/2016)

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: 11/4/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/14/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/26/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MARK T. HARVEY INVESTMENTS

HARVEY, MARK T. | MARK T. HARVEY, RIA | MARK T. HARVEY INVESTMENTS

CRD#: 169170 / SEC#:

California

Registered Investment Advisory firm - (1/14/2016 Approved)

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Contact information

Main Address

Anaheim Hills, CA

Mailing Address

Phone number

(949) 733-9100

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 2,500,000

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 T. Harvey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Todd Harvey's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARK T. HARVEY INVESTMENTS

CAPITAL FINANCIAL SERVICES, INC.

UNITED HERITAGE FINANCIAL SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

FIRST ALLIED SECURITIES, INC.

WMA SECURITIES, INC.

NEW ENGLAND SECURITIES

MUTUAL SERVICE CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/2013

Series 63

Date: 1/14/2000

Series 6

Date: 10/26/1999

Current Firm

MARK T. HARVEY INVESTMENTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MARK T. HARVEY INVESTMENTS

TRUST BUT VERIFY

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