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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Steven Harris is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. with over 40 years of experience in the industry. Mark Steven Harris is registered in 32 states and has passed the Series 31, Series 5, Series 63, Series 65 and Series 7 exams. He is also a registered investment advisor in California, Colorado, Texas, and Washington. Mark Steven Harris has previously worked at Morgan Stanley and Citigroup Global Markets Inc. He provides portfolio management for individuals and businesses, and also offers pension consulting, educational seminars, and selection of other advisors.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, 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.
1
2
AZ
10/11/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Scottsdale AZ)
WA
06/01/2009 - 10/21/2016
MORGAN STANLEY (BELLEVUE WA)
WA
11/30/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BELLEVUE WA)
NY
02/24/1988 - 11/20/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/02/1984 - 03/04/1988
PIPER, JAFFRAY & HOPWOOD INCORPORATED
NA
12/24/1980 - 07/02/1984
DEAN WITTER REYNOLDS INC.
IA
Issued 03/10/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/13/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 12/20/1980
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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