Mark A. Harmon
Professional summary
Mark Andrew Harmon JR, who also goes by Mark A Harmon Jr, is a registered financial professional currently at IMC SECURITIES LLC located in Chicago, Illinois.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2011. Mark has worked at 2 firms and has passed the Series 57TO, SIE and Series 44 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Andrew Harmon JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 11, 2015 - Present
IMC SECURITIES LLC
Office #1: 233 South Wacker Drive #4300, Chicago, IL 60606August 15, 2011 - September 22, 2015
LUPO SECURITIES, LLC
April 8, 2011 - August 2, 2011
LUPO SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 44
Date: 9/7/2011
PCX Market Maker ExamCboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Current Firm
IMC SECURITIES LLC
CRD#: 144874 / SEC#: , 8-67680
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
