Mark A. Harmon

FOURSTAR WEALTH ADVISORS

CHICAGO, IL 60640

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CRD#: 237290

Professional summary

Mark Andrew Harmon is a registered financial advisor currently at FOURSTAR WEALTH ADVISORS, LLC located in Chicago, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Mark has worked at 12 firms and has passed the Series 65, Series 44, Series 3, Series 1 and Series 4 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.

INDEPENDENT INSURANCE AGENT; NOT INVESTMENT RELATED; SAME ADDRESS AS IAR; LIFE INSURANCE SALES USED FOR OVERALL FINANCIAL PLANNING; START DATE 12/2012; 10 HOURS A MONTH; AFTER TRADING HOURS; INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew Harmon'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®

None

Experience

Current

October 17, 2016 - Present

FOURSTAR WEALTH ADVISORS, LLC

Office #1: 4422 N Ravenswood, Chicago, IL 60640

RIA

CRD#: 169613

CHICAGO, IL

Past

June 2, 2014 - November 3, 2016

KINGSVIEW WEALTH MANAGEMENT, LLC

RIA

CRD#: 148107

CHICAGO, IL

Past

January 2, 2013 - November 17, 2015

EVERETT WEALTH SOLUTIONS, INC

RIA

CRD#: 151725

FOREST PARK, IL

Past

April 5, 2011 - August 2, 2011

LUPO SECURITIES, LLC

CRD#: 43761

CHICAGO, IL

Past

May 20, 2009 - March 3, 2010

RONIN CAPITAL, LLC

CRD#: 118428

CHICAGO, IL

Past

January 28, 1987 - July 8, 1991

WAGNER, STOTT & CO.

CRD#: 3690

NEW YORK, NY

Past

December 20, 1984 - March 4, 1985

CLG INVESTMENT COMPANY, INC.

CRD#: 10141

Past

April 29, 1980 - February 28, 1985

AGB TRADING INCORPORATED

CRD#: 8115

Past

April 2, 1980 - April 29, 1980

AGB TRADING INCORPORATED

CRD#: 1000006

Past

July 13, 1978 - October 18, 1984

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

December 24, 1974 - July 13, 1978

BECKER SECURITIES INCORPORATED

CRD#: 6796

Past

September 19, 1974 - November 25, 1975

A. G. BECKER & CO., INCORPORATED

CRD#: 3

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".

FOURSTAR WEALTH ADVISORS, LLC

FAMILY WEALTH LEGACY ADVISORS | GINGER ADVISORS, LLC | FOURSTAR WEALTH ADVISORS, LLC

CRD#: 169613 / SEC#: 801-110467

RIA

Registered Investment Advisory firm - (4/21/2017 Approved)

Illinois

Registered Investment Advisory firm - (4/21/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(10/17/2016)

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: 12/28/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 44

Date: 4/29/2009

PCX Market Maker Exam

General Industry/Product Exam

Series 3

Date: 4/13/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 1

Date: 9/12/1974

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/29/1980

Registered Options Principal Examination

Current Firm

FOURSTAR WEALTH ADVISORS, LLC

FAMILY WEALTH LEGACY ADVISORS | GINGER ADVISORS, LLC | FOURSTAR WEALTH ADVISORS, LLC

CRD#: 169613 / SEC#: 801-110467

RIA

Registered Investment Advisory firm - (4/21/2017 Approved)

Illinois

Registered Investment Advisory firm - (4/21/2017 Terminated)

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Contact information

Main Address

1 N. Lasalle Street Suite 2225, Chicago, IL 60602

Mailing Address

Phone number

(312) 667-1750

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,309
AUM (Assets Under Management)	$ 1,240,902,908

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2025	Cover Page	Report
05/28/2024	Cover Page	Report

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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Mark A. Harmon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew Harmon's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSVIEW WEALTH MANAGEMENT, LLC

EVERETT WEALTH SOLUTIONS, INC

LUPO SECURITIES, LLC

RONIN CAPITAL, LLC

WAGNER, STOTT & CO.

CLG INVESTMENT COMPANY, INC.

AGB TRADING INCORPORATED

AGB TRADING INCORPORATED

BECKER PARIBAS INCORPORATED

BECKER SECURITIES INCORPORATED

A. G. BECKER & CO., INCORPORATED

Primary Firm SEC Registration

FOURSTAR WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/2012

Series 44

Date: 4/29/2009

Series 3

Date: 4/13/1994

Series 1

Date: 9/12/1974

Series 4

Date: 4/29/1980

Current Firm

FOURSTAR WEALTH ADVISORS, LLC

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FOURSTAR WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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