Mark H. Steele

FORESIDE FINANCIAL SERVICES

Leola, PA 17540

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CRD#: 5161790

Professional summary

Mark H Steele is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Leola, Pennsylvania.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2006. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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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

April 29, 2021 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 3175 Oregon Pike, Leola, PA 17540

CRD#: 148477

Leola, PA

Past

March 20, 2007 - October 2, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WYOMISSING, PA

Past

March 20, 2007 - October 2, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WYOMISSING, PA

Past

January 17, 2007 - March 2, 2007

LEGACY ADVISORY SERVICES, INC.

RIA

CRD#: 111027

YORK, PA

Past

June 20, 2006 - March 2, 2007

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

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

Delaware
(8/9/2021)

Maryland
(5/3/2021)

New Jersey
(6/2/2021)

New York
(6/7/2021)

Ohio
(4/29/2021)

Pennsylvania
(6/2/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/16/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/30/2015

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/1/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/19/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/16/2014

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/21/2014

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FINANCIAL SERVICES, LLC

BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC

CRD#: 148477 / SEC#: , 8-68027

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

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(866) 251-6920

Established

Delaware since 07/31/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	DIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNE	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER	1137783
COWAN, TERESA MARIA KAZMIERSKI	PRESIDENT/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145

Red Flags

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Advisor Monitoring

Firm Stability Insights

Mark H. Steele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark H Steele's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEGACY ADVISORY SERVICES, INC.

LEGACY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2006

Series 63

Date: 8/16/2006

SIE

Date: 10/1/2018

Series 31

Date: 1/30/2015

Series 7

Date: 6/1/2007

Series 6

Date: 6/19/2006

Series 10

Date: 12/16/2014

Series 9

Date: 11/21/2014

FINRA

Current Firm

FORESIDE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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