Mark Daniel Moriarty

Employer firm

Fisher Investments CRD 107342

$387B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
PORTFOLIO ASSESSMENT

From the firm’s Form ADV. Read the guides:

Current Employers

Fisher Investments

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2024-12-09
TX	RA	APPROVED_RES	2023-05-26
HI	RA	APPROVED	2008-01-09
CA	RA	APPROVED	2001-02-16

NV RA
APPROVED

Since 2024-12-09
TX RA
APPROVED_RES

Since 2023-05-26
HI RA
APPROVED

Since 2008-01-09
CA RA
APPROVED

Since 2001-02-16

Branch Locations

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

Reno, NV • United States

1450 Fashion Island Blvd, San Mateo, CA 94404 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Fisher Investments, Inc.	Woodside	CA	09/1991	Present

09/1991 → Present

Fisher Investments, Inc.

Woodside, CA

Other Businesses

--Name of the other business: LOS ALTOS ROD AND GUN CLUB --Investment-related? NO --Address of the other business: 14750 SKYLINE BOULEVARD, LOS ALTOS, CA 95033 --Nature of the other business: GUN CLUB AND SHOOTING RANGE --Position, title, or relationship with the other business: SHAREHOLDER --Start date of your relationship: 12/03/2016 --Approximate number of hours/month you devote to the other business: 1-5 --Number of hours you devote to the other business during securities trading hours: 0 --Duties relating to the other business: PARTIAL OWNER OF THE BUSINESS AND PROPERTY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-02-12
S63	Uniform Securities Agent State Law Examination	1996-12-12

S66 Uniform Combined State Law Examination

2001-02-12
S63 Uniform Securities Agent State Law Examination

1996-12-12

View on SEC IAPD