Mark Andrew Phillips
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
HARVESTED FINANCIAL, LLC
Contact Information
Main Address
Redding, CTPhone Number
(617) 694-9379# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
7AUM (Assets Under Management)
$4,261,679Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 56 — Proprietary Trader Qualification Examination
Passed Jul 2011Series 48 — AMEX Market Maker Exam
Passed Dec 2010Series 44 — PCX Market Maker Exam
Passed Mar 2008Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Mark Andrew Phillips's CRS (Customer Relationship Summary).
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