Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Edward Hartigan is a financial professional with over 24 years of experience in the industry. Mark is currently registered with Robert W. Baird & Co. Inc. Mark has previously been registered with SMBC NIKKO SECURITIES AMERICA, INC., HSBC SECURITIES (USA) INC., DEUTSCHE BANK SECURITIES INC., THEMUNICENTER.COM, CHAPDELAINE & CO., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and LIBERTY BROKERAGE INC.. Mark has passed the Series 63, Series 72, SIE, and Series 7 exams. Mark is licensed in 52 states and is registered with FINRA. Mark has a broad range of experience and can help you with your financial needs.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
NY
08/05/2024 - Present
Robert W. Baird & Co. Inc. (New York NY)
NY
09/28/2022 - 06/26/2024
SMBC NIKKO SECURITIES AMERICA, INC. (NEW YORK NY)
NY
05/11/2009 - 09/15/2022
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
07/06/2005 - 05/12/2009
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
07/17/2001 - 07/21/2003
THEMUNICENTER.COM (NEW YORK NY)
NY
04/03/2001 - 07/03/2001
CHAPDELAINE & CO. (NEW YORK NY)
NY
11/18/1999 - 01/25/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
02/24/1998 - 05/28/1999
LIBERTY BROKERAGE INC. (JERSEY CITY NJ)
BC
Issued 10/13/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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