Mark R. Harris
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 Robert Harris, who also goes by Mark R Harris, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 1998 - April 1, 1999
FIRST LIBERTY INVESTMENT GROUP, INC.
December 22, 1997 - July 2, 1998
ROBERT THOMAS SECURITIES, INC
August 16, 1996 - December 22, 1997
A. G. EDWARDS & SONS, INC.
August 28, 1995 - August 20, 1996
PRUDENTIAL EQUITY GROUP, LLC
May 10, 1994 - August 23, 1995
BILTMORE SECURITIES, INC.
February 2, 1994 - July 12, 1994
ROYAL PALM INVESTMENTS, LTD.
December 8, 1993 - May 20, 1994
HANOVER, STERLING & COMPANY LTD.
June 17, 1993 - October 28, 1993
BILTMORE SECURITIES, 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
FIRST LIBERTY INVESTMENT GROUP, INC.
CRD#: 3536 / SEC#: , 8-6824
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMONWEALTH INV. GRP | OWNER | |
| EMINENTE, CHRISTIAN LUCIANO | EXEC. VP | 2109308 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 10 |
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.
