Robert M. Marks

HARBOR FUNDS DISTRIBUTORS

Paoli, PA

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CRD#: 5002002

Professional summary

Robert Matthew Marks III, who also goes by Robert Matthew Marks III, Robert Matthew Marks, is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Paoli, Pennsylvania.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2005. Robert has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Matthew Marks Iii | Robert Matthew Marks

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Matthew Marks III'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

June 23, 2025 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

Office #2: 111 South Wacker Drive 34th Floor, Chicago, IL 60606

CRD#: 113506

Paoli, PA

Past

February 16, 2011 - May 19, 2025

FRED ALGER & COMPANY, LLC

CRD#: 5300

NEW YORK, NY

Past

July 13, 2010 - February 1, 2011

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

JERSEY CITY, NJ

Past

December 3, 2009 - July 21, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

November 30, 2009 - July 21, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

November 18, 2005 - October 2, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HIGH POINT, NC

Past

September 28, 2005 - October 2, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HIGH POINT, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/23/2025)

Alaska
(6/23/2025)

Arizona
(6/23/2025)

Arkansas
(6/23/2025)

California
(6/23/2025)

Colorado
(6/23/2025)

Connecticut
(6/23/2025)

Delaware
(6/23/2025)

District of Columbia
(6/23/2025)

Florida
(6/23/2025)

Georgia
(6/23/2025)

Hawaii
(6/23/2025)

Idaho
(6/23/2025)

Illinois
(6/23/2025)

Indiana
(6/23/2025)

Iowa
(6/23/2025)

Kansas
(6/23/2025)

Kentucky
(6/23/2025)

Louisiana
(6/23/2025)

Maine
(6/23/2025)

Maryland
(6/23/2025)

Massachusetts
(6/23/2025)

Michigan
(6/23/2025)

Minnesota
(6/23/2025)

Mississippi
(6/23/2025)

Missouri
(6/23/2025)

Montana
(6/23/2025)

Nebraska
(6/23/2025)

Nevada
(6/23/2025)

New Hampshire
(6/23/2025)

New Jersey
(6/23/2025)

New Mexico
(6/23/2025)

New York
(6/23/2025)

North Carolina
(6/23/2025)

North Dakota
(6/23/2025)

Ohio
(6/23/2025)

Oklahoma
(6/23/2025)

Oregon
(6/23/2025)

Pennsylvania
(6/23/2025)

Puerto Rico
(6/23/2025)

Rhode Island
(6/23/2025)

South Carolina
(6/23/2025)

South Dakota
(6/23/2025)

Tennessee
(6/23/2025)

Texas
(6/23/2025)

Utah
(6/23/2025)

Vermont
(6/23/2025)

Virgin Islands
(6/23/2025)

Virginia
(6/23/2025)

Washington
(6/23/2025)

West Virginia
(6/23/2025)

Wisconsin
(6/23/2025)

Wyoming
(6/23/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/17/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/2/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HARBOR FUNDS DISTRIBUTORS, INC.

BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

111 South Wacker Drive 34th Floor, Chicago, IL 60606

Mailing Address

111 South Wacker Drive 34th Floor, Chicago, IL 60606

Phone number

(312) 443-4420

Established

Delaware since 02/21/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HARBOR CAPITAL ADVISORS, INC.	SHAREHOLDER
HALABY, JOHN STEVE	PRESIDENT AND DIRECTOR	2543904
KUNKEL, JACOB JEFFREY	CHIEF FINANCIAL OFFICER AND TREASURER	6108628
MCCAIN, CHARLES FREDERICK	CHIEF EXECUTIVE OFFICER AND DIRECTOR	4865638
NEE, STEPHANIE ANN	CHIEF COMPLIANCE OFFICER	4968097

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

Robert M. Marks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Matthew Marks III's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRED ALGER & COMPANY, LLC

EQUITABLE DISTRIBUTORS, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/17/2005

SIE

Date: 10/1/2018

Series 7

Date: 9/27/2005

Series 24

Date: 4/2/2014

FINRA

Current Firm

HARBOR FUNDS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HARBOR FUNDS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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