MH
Mark E. Harris
BROXTON CAPITAL ADVISORS
Old San Juan, PR 00901-1659
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CRD#: 6260125
MH
Professional summary
Mark Edward Harris is a registered financial advisor currently at BROXTON CAPITAL ADVISORS located in Old San Juan, .
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Mark has worked at 1 firm .
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.
Pretige Payment Systems
Sales
non-investment related
11645 MONTANA AVE #117
LOS ANGELES CA 90049
Mark is a solicitor for Broxton Capital. He started as a solicitor for Broxton Jan 1st, 2014. He spends 40+ hours a week devoted to his business.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Edward Harris'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®
NoneExperience
Current
January 28, 2014 - Present
BROXTON CAPITAL ADVISORS
Office #1: 151 Calle De San Francisco Suite 200, Old San Juan, PR 00901-1659RIA
CRD#: 136914
Old San Juan, PR
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
California(1/28/2014)
Exams
Current Firm
BC
BROXTON CAPITAL ADVISORS
BROXTON CAPITAL ADVISORS | WESTWOOD ASSET MANAGEMENT, LLC | COOKE, ROOT & STEAD ASSET MANAGEMENT, LLC | BROXTON CAPITAL ADVISORS LLC
CRD#: 136914 / SEC#: 801-64689
RIA
Registered Investment Advisory firm - (8/28/2012 Terminated)Arizona
Registered Investment Advisory firm - (11/19/2021 Terminated)California
Registered Investment Advisory firm - (6/15/2012 Approved)Puerto Rico
Registered Investment Advisory firm - (11/5/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
151 Calle De San Francisco Suite 200, Old San Juan, PR 00901-1659
Mailing Address
Phone number
(310) 208-2151
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 106 |
| AUM (Assets Under Management) | $ 30,739,954 |
Red Flags
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