MH
Mark K. Herzhauser
METLIFE INVESTORS DISTRIBUTION COMPANY
NEW YORK, NY 10166
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CRD#: 2883574
MH
Professional summary
Mark Keenan Herzhauser, who also goes by Mark K Herzhauser, is a registered financial professional currently at METLIFE INVESTORS DISTRIBUTION COMPANY located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2011. Mark has worked at 2 firms and has passed the Series 63, Series 6TO, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark K Herzhauser
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Mark Keenan Herzhauser'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®
NoneExperience
Current
August 30, 2023 - Present
METLIFE INVESTORS DISTRIBUTION COMPANY
Office #1: 200 Park Ave 4th Floor, New York, NY 10166BD
CRD#: 107622
NEW YORK, NY
Past
August 23, 2011 - March 6, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BRIDGEWATER, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(4/17/2024)
RR
Alaska(4/17/2024)
RR
Arkansas(4/17/2024)
RR
California(4/17/2024)
RR
Hawaii(4/17/2024)
RR
Indiana(4/17/2024)
RR
Iowa(4/17/2024)
RR
Minnesota(4/17/2024)
RR
Montana(4/17/2024)
RR
Nebraska(4/17/2024)
RR
Nevada(4/17/2024)
RR
New Hampshire(4/17/2024)
RR
New Mexico(4/17/2024)
RR
North Carolina(4/17/2024)
RR
North Dakota(4/17/2024)
RR
Ohio(4/17/2024)
RR
Oregon(4/17/2024)
RR
Rhode Island(4/17/2024)
RR
South Dakota(4/17/2024)
RR
Utah(4/17/2024)
RR
Vermont(4/17/2024)
RR
Washington(4/17/2024)
RR
Wyoming(4/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/30/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MI
METLIFE INVESTORS DISTRIBUTION COMPANY
AMERICAN DISTRIBUTORS, INC. | METLIFE INVESTORS DISTRIBUTION COMPANY | GENERAL AMERICAN DISTRIBUTORS, INC.
CRD#: 107622 / SEC#: , 8-53064
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Park Avenue 4th Floor, New York City, NY 10166
Mailing Address
200 Park Avenue 4th Floor, New York City, NY 10166
Phone number
(973) 355-4954
Established
Missouri since 10/03/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE INVESTORS GROUP, LLC | SHAREHOLDER | |
| ALPHONSO-NAPOLI, GEETA MARCELI | LEGAL OFFICER | 4518655 |
| FRADKIN, GEOFFREY ANDREW | VICE PRESIDENT | 5473381 |
| GOOD, JESSICA TERESE | CHAIRMAN OF THE BOARD OF DIRECTORS, PRESIDENT AND CEO | 5741973 |
| GRUPPUSO, PETER | ASSISTANT VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2643834 |
| KUCHINSKY, ALEXIS NATALIE | CHIEF COMPLIANCE OFFICER | 4343809 |
| LOPEZ, GABRIEL ADOLPH | DIRECTOR AND SENIOR VICE PRESIDENT | 2554216 |
| MCDERMOTT, MICHAEL | DIRECTOR, SENIOR VICE PRESIDENT | 5577809 |
| SCHUSTER, THOMAS JAMES | DIRECTOR, SENIOR VICE PRESIDENT | 4570334 |
| SMITH-WALL, ANIKA AYANNA-NJERI | DIRECTOR, VICE PRESIDENT | 7414359 |
Disclosures
| Regulatory Event | 1 |
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.
