Mark A. Hermes
Professional summary
Mark Alan Hermes, who also goes by Mark A Hermes, is a registered financial professional currently at PHX FINANCIAL, INC. located in Fort Lauderdale, Florida.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2000. Mark has worked at 18 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Alan Hermes's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 9, 2023 - Present
PHX FINANCIAL, INC.
Office #1: 1 East Broward Boulevard, Fort Lauderdale, FL 33301September 20, 2019 - July 5, 2022
JOSEPH GUNNAR & CO. LLC
August 18, 2016 - September 24, 2019
WESTPARK CAPITAL, INC.
June 13, 2016 - August 22, 2016
NEWPORT COAST SECURITIES, INC.
January 5, 2016 - June 17, 2016
FREEDOM INVESTORS CORP.
March 19, 2015 - July 1, 2015
NEWPORT COAST SECURITIES, INC.
March 24, 2014 - May 16, 2014
LAIDLAW & COMPANY (UK) LTD.
August 17, 2009 - March 26, 2014
STONEX SECURITIES INC.
February 5, 2008 - August 17, 2009
EMMETT A LARKIN COMPANY, INC.
July 18, 2007 - December 10, 2007
SHEARSON FINANCIAL SERVICES, LLC
February 21, 2006 - October 3, 2006
JHS CAPITAL ADVISORS, LLC
November 18, 2003 - February 27, 2006
SALOMON GREY FINANCIAL CORPORATION
August 25, 2003 - October 6, 2003
LLOYD, SCOTT & VALENTI, LTD.
June 9, 2003 - August 22, 2003
CAPITAL GROWTH FINANCIAL, LLC
February 26, 2003 - June 23, 2003
KOVACK SECURITIES INC.
July 30, 2002 - March 10, 2003
J.P. TURNER & COMPANY, L.L.C.
May 16, 2002 - July 29, 2002
PLATINUM INVESTMENT CORP.
February 21, 2002 - May 23, 2002
LH ROSS & COMPANY, INC.
July 19, 2001 - March 22, 2002
SALOMON GREY FINANCIAL CORPORATION
July 25, 2000 - July 17, 2001
EMERSON BENNETT & ASSOCIATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/9/2023)
(1/20/2023)
(1/10/2023)
(1/13/2023)
(3/17/2025)
(1/13/2023)
(1/11/2023)
(1/9/2023)
(1/9/2023)
(1/13/2023)
(1/11/2023)
(1/19/2023)
(2/17/2023)
(9/24/2024)
(1/13/2023)
(1/10/2023)
(1/9/2023)
(1/24/2023)
(1/12/2023)
(1/11/2023)
(1/9/2023)
(1/10/2023)
Exams
FINRA
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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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Company Information
PHX FINANCIAL, INC.
CRD#: 144403Fort Lauderdale, FL 33301TRUST BUT VERIFY
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