Mark D. Hines

HERRICK LAKE INVESTMENTS LLC

Naperville, IL 60540

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CRD#: 4765638

Professional summary

Mark Daniel Hines is a registered financial advisor currently at HERRICK LAKE INVESTMENTS LLC located in Naperville, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Mark has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 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.

BLUE HARBINGER RESEARCH, LLC 1965 OXLEY CIRCLE NAPERVILLE, IL 60563 MANAGING MEMBER INVESTMENT RESEARCH INVESTMENT RELATED SINCE 05/23/2015 100 HRS PER MONTH DUTIES ARE TO CREATE INVESTMENT RESEARCH REPORTS Mark is the founder and director of research at Blue Harbinger Research, an independent investment research company.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Daniel Hines'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®

None

Experience

Current

July 26, 2021 - Present

HERRICK LAKE INVESTMENTS LLC

Office #1: 1155 South Washington Street #105, Naperville, IL 60540

RIA

CRD#: 315662

Naperville, IL

Past

November 1, 2016 - May 26, 2021

LEFT BRAIN WEALTH MANAGEMENT, LLC

RIA

CRD#: 170348

NAPERVILLE, IL

Past

April 27, 2004 - October 28, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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
(7/26/2021)

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Exams

State Security Law Exam

IAR

Series 65

Date: 11/1/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/29/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/26/2004

General Securities Representative Examination

Current Firm

HERRICK LAKE INVESTMENTS LLC

CRD#: 315662 / SEC#:

Illinois

Registered Investment Advisory firm - (7/23/2021 Approved)

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Contact information

Main Address

1155 South Washington Street #105, Naperville, IL 60540

Mailing Address

Phone number

(630) 581-8119

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 3,619,893

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 D. Hines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Daniel Hines's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERRICK LAKE INVESTMENTS LLC

LEFT BRAIN WEALTH MANAGEMENT, LLC

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/2016

Series 63

Date: 4/29/2004

Series 7

Date: 4/26/2004

Current Firm

HERRICK LAKE INVESTMENTS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HERRICK LAKE INVESTMENTS LLC

TRUST BUT VERIFY

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