Mark A. Phillips

HARVESTED FINANCIAL

Redding, CT

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CRD#: 4994884

Professional summary

Mark Andrew Phillips is a registered financial advisor currently at HARVESTED FINANCIAL, LLC located in Redding, Connecticut.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Mark has worked at 2 firms and has passed the Series 65, SIE, Series 56, Series 48, Series 44 and Series 24 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.

Harvested Digital Asset Management, General Partner. Director of Fund. While investment related this has no affiliation with advisory activities and shares no clients. HDAM is located at 2217 N Hoyne Ave, Chicago IL, 60647. The business was formed in March 2021. Less than 10 hours per month is spent on this, during market hours. My duties are administrative for the fund wind down.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew Phillips'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 21, 2020 - Present

HARVESTED FINANCIAL, LLC

RIA

CRD#: 309199

Redding, CT

Past

December 22, 2009 - April 1, 2020

GROUP ONE TRADING LLC

CRD#: 37484

CHICAGO, IL

Past

June 23, 2006 - April 27, 2009

GROUP ONE TRADING LLC

CRD#: 37484

CHICAGO, IL

Past

July 7, 2005 - September 12, 2005

GROUP ONE TRADING LLC

CRD#: 37484

CHICAGO, IL

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

Connecticut
(12/5/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/19/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 56

Date: 7/11/2011

Proprietary Trader Qualification Examination

General Industry/Product Exam

Series 48

Date: 12/16/2010

AMEX Market Maker Exam

General Industry/Product Exam

Series 44

Date: 3/4/2008

PCX Market Maker Exam

Principal/Supervisory Exam

Series 24

Date: 8/5/2011

General Securities Principal Examination

Current Firm

HARVESTED FINANCIAL, LLC

CRD#: 309199 / SEC#: 801-119107

RIA

Registered Investment Advisory firm - (8/9/2021 Terminated)

Connecticut

Registered Investment Advisory firm - (12/5/2024 Approved)

Illinois

Registered Investment Advisory firm - (12/13/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Redding, CT

Mailing Address

Phone number

(617) 694-9379

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 6,243,326

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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Advisor Monitoring

Firm Stability Insights

Mark A. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROUP ONE TRADING LLC

GROUP ONE TRADING LLC

GROUP ONE TRADING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/2020

SIE

Date: 10/1/2018

Series 56

Date: 7/11/2011

Series 48

Date: 12/16/2010

Series 44

Date: 3/4/2008

Series 24

Date: 8/5/2011

Current Firm

HARVESTED FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARVESTED FINANCIAL, LLC

TRUST BUT VERIFY

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