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MH

Mark R. Hansen

N.E. PRIVATE CLIENT, LTD
ATTLEBORO, MA 02703
Some features on this profile are disabled
CRD#: 2888137
MH

Professional summary

Mark Richard Hansen is a registered financial professional currently at N.E. PRIVATE CLIENT, LTD located in Attleboro, Massachusetts.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1997. Mark has worked at 7 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 53, Series 27, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Richard Hansen'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

November 21, 2023 - Present

N.E. PRIVATE CLIENT, LTD

Office #1: 89 N Main Street, Attleboro, MA 02703
BD
CRD#: 136058
ATTLEBORO, MA
Past

September 14, 2023 - November 1, 2023

SAN BLAS SECURITIES LLC

BD
CRD#: 290605
CHICAGO, IL
Past

November 20, 2018 - August 4, 2020

ESSEX SECURITIES LLC

BD
CRD#: 46605
MANSFIELD, MA
Past

October 8, 2015 - January 5, 2023

PINNACLE INVESTMENTS, LLC

BD
CRD#: 142910
EAST SYRACUSE, NY
Past

May 7, 2007 - April 28, 2015

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

October 20, 2005 - April 25, 2007

ALTA CAPITAL GROUP, LLC

BD
CRD#: 136618
BOSTON, MA
Past

December 6, 1999 - October 14, 2005

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

August 22, 1997 - December 7, 1999

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA

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
Connecticut
(12/20/2023)
RR
Florida
(1/9/2024)
RR
Massachusetts
(12/19/2023)
RR
Minnesota
(12/26/2023)
RR
New Hampshire
(1/5/2024)
RR
Rhode Island
(11/22/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/25/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/16/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/1/2005
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/20/2004
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/4/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/22/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NP
N.E. PRIVATE CLIENT, LTD
N.E. PRIVATE CLIENT ADVISORS, LTD. | N.E. PRIVATE CLIENT, LTD

CRD#: 136058 / SEC#: , 8-66968

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
89 N Main Street, Attleboro, MA 02703
Mailing Address
89 N Main Street, Attleboro, MA 02703
Phone number
(508) 930-8434
Established
Rhode Island since 08/20/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HANSEN, MARK RICHARDCEO, FINOP, CCO2888137

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.

Company Information

N.E. PRIVATE CLIENT, LTD

CRD#: 136058Attleboro, MA 02703

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