Individual Firm
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Mark Richard Harbaugh
MARK RICHARD HARBAUGH
CRD#: 2999737
IA
B
EDWARD JONESCRD#: 250 201 HARRISBURG ST #1
EAST BERLIN, PA 17316-8824
EAST BERLIN, PA 17316-8824
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6/30/2020
Financial
Final
12/28/2017
Financial
Final
9/28/2016
Financial
Final
4/30/2015
Financial
Final
11/26/2008
Customer Dispute
Denied
State Registrations
B
Delaware 7/6/2021
B
New York 8/8/2024
B
Florida 1/20/2022
IA
Pennsylvania 12/4/2020
B
Iowa 7/11/2022
B
Pennsylvania 12/9/2020
B
Maryland 12/10/2020
B
Tennessee 2/20/2024
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/4/2020
B
Registered with this firm since 12/9/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/17/2020 - 11/25/2020 | WAYNEBORO, PA | |
B | 11/16/2020 - 11/25/2020 | WAYNEBORO, PA | |
IA | 05/08/2017 - 12/07/2018 | YORK, PA | |
B | 10/07/2000 - 12/07/2018 | YORK, PA | |
B | 01/19/2000 - 10/07/2000 | WILLIAMSPORT, PA | |
B | 12/01/1998 - 01/03/2000 | HOUSTON, TX | |
B | 03/23/1998 - 01/03/2000 | HOUSTON, TX |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.