Mark A. Herding

HARBOUR INVESTMENTS

Phoenix, AZ 85018

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CRD#: 2239357

Professional summary

Mark Allen Herding, CFP® is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Phoenix, Arizona.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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)INDEPENDENT INSURANCE AGENT DBA CAMELBACK WEALTH CONSULTANTS INCLUDING EQUITY INDEXED ANNUITIES. 2) BOY SCOUTS OF AMERICA, PHOENIX AZ, 05/30/2017, MERIT BADGE COUNSELOR, NOT INVESTMENT RELATED, 1/WEEKLY 0/TRADE, NON PROFIT 3) 32ND STREET PROPERTIES, IS NOT INVESTMENT RELATED, OWN CWC OFFICE BUILDING, 08/13/2021, 1 HR PER MONTH, 0 HR PER MONTH DURING TRADING HRS, OTHER COMPENSATION, RENTAL INCOME FROM TENANT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Herding's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mark Allen Herding's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

February 1, 2018 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 4648 N 32nd St, Phoenix, AZ 85018

RIA

CRD#: 19258

Phoenix, AZ

Current

January 31, 2018 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 4648 N 32nd St, Phoenix, AZ 85018

RIA

CRD#: 19258

Phoenix, AZ

Past

November 15, 2012 - February 14, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

PHOENIX, AZ

Past

October 19, 2012 - February 14, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

PHOENIX, AZ

Past

June 18, 2004 - November 5, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

PHOENIX, AZ

Past

June 18, 2004 - November 5, 2012

LPL FINANCIAL LLC

CRD#: 6413

PHOENIX, AZ

Past

November 30, 2001 - July 16, 2004

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

SALT LAKE CITY, UT

Past

November 24, 1998 - July 16, 2004

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

June 13, 1992 - November 25, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/31/2018)

IAR

Arizona
(2/1/2018)

California
(1/31/2018)

Colorado
(1/31/2018)

Florida
(1/31/2018)

Illinois
(1/31/2018)

Maine
(9/23/2025)

Minnesota
(3/12/2021)

Missouri
(1/31/2018)

New Mexico
(1/31/2018)

North Carolina
(1/31/2018)

North Dakota
(9/16/2024)

Oregon
(4/23/2019)

South Dakota
(1/31/2018)

Texas
(11/18/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/30/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/8/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/8/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/8/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/15/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Mailing Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Phone number

(608) 662-6100

Established

Wisconsin since 01/22/1987

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

231

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR BROCHURE (10/2/2025)

Direct owners and executive officers

Name	Position	CRD#
SONDEL, NICK WILLIAM	CHIEF EXECUTIVE OFFICER	1261064
DUSHEK, JAMES WALTER	VICE PRESIDENT OF OPERATIONS	4323103
HAGER, AARON MICHAEL	PRESIDENT	5017811
KOPITZKE, KYLE LEE	CO-CCO	5675560
MEDLAND, RICHARD ONEILL	CO-CCO	2748242
MEYER, RHONDA LEE	SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER, FINOP	2285226
NELLES, JULIE MARIE	VP OF ADVISORY OPERATIONS & SERVICES	4771824
WIPPERFURTH, DANIEL THOMAS	VICE PRESIDENT OF ADVISOR DEVELOPMENT	4029404

Regulatory assets under management

Total Number of Accounts	38,692
AUM (Assets Under Management)	$ 7,569,614,628

Disclosures

Regulatory Event	3
Bond	6

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 A. Herding

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Herding's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark Allen Herding's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/1997

Series 63

Date: 5/8/1992

SIE

Date: 10/1/2018

Series 7

Date: 5/8/1997

Series 6

Date: 5/8/1992

Series 24

Date: 2/15/2000

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HARBOUR INVESTMENTS, INC.

TRUST BUT VERIFY

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