Mark T. Haller
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 Thomas Haller was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1999. Mark had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2014 - April 12, 2022
FISHER INVESTMENTS
December 5, 2011 - August 18, 2014
COLUMBIA RIVER ADVISORS
October 1, 2008 - March 31, 2011
FINANCIAL ADVOCATES ADVISORY SERVICES
June 27, 2007 - May 14, 2010
DIVERSIFIED FINANCIAL ADVISORS
January 8, 2007 - December 16, 2011
LPL FINANCIAL LLC
January 8, 2007 - December 16, 2011
LPL FINANCIAL LLC
April 27, 2004 - January 8, 2007
SIGNATOR FINANCIAL SERVICES, INC.
April 27, 2004 - January 8, 2007
SIGNATOR FINANCIAL SERVICES, INC.
November 7, 2002 - July 7, 2004
INDEPENDENT ADVISERS GROUP CORP
September 24, 2002 - April 28, 2004
OSAIC FS, INC.
November 14, 2001 - July 19, 2002
LPL FINANCIAL LLC
October 12, 2001 - July 19, 2002
LPL FINANCIAL LLC
May 12, 1999 - October 12, 2001
COUNTRY CAPITAL MANAGEMENT COMPANY
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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