Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Allen Herding is an investment advisor representative and investment advisor representative for Harbour Investments, Inc. Mark has been in the securities industry since June 1992. Mark is registered with the Financial Industry Regulatory Authority (FINRA), and the state of Arizona. Mark also holds the following designations: Certified Financial Planner. Mark has worked for Cambridge Investment Research, Inc., LPL Financial LLC, Hornor, Townsend & Kent, Inc. and Pruco Securities Corporation. Mark has a total of 12 approved state registrations, including Arizona, California, Colorado, Florida, Illinois, Minnesota, Missouri, New Mexico, North Carolina, Oregon, South Dakota and Texas. Mark has 2 state exam registrations, including the Uniform Investment Adviser Law Examination (Series 65) and the Uniform Securities Agent State Law Examination (Series 63). Mark has 1 principal exam registration, including the General Securities Principal Examination (Series 24) and 3 product exam registrations, including the Securities Industry Essentials Examination (SIE), the General Securities Representative Examination (Series 7), and the Investment Company Products/Variable Contracts Representative Examination (Series 6).
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
AZ
02/01/2018 - Present
Harbour Investments, Inc. (PHOENIX AZ)
AZ
10/19/2012 - 02/14/2018
CAMBRIDGE INVESTMENT RESEARCH, INC. (PHOENIX AZ)
AZ
06/18/2004 - 11/05/2012
LPL FINANCIAL LLC (PHOENIX AZ)
PA
11/24/1998 - 07/16/2004
HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)
NJ
06/13/1992 - 11/25/1998
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 07/30/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/08/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/15/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/1997
Series 7 - General Securities Representative Examination
BC
Issued 05/08/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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