Mark Christopher Harms

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2015 → 07/2019
  Edward Jones
  Saint Louis, MO
• 07/2019 → 07/2023
  Ameriprise Financial Services Inc
  Chicago, IL
• 10/2023 → Present
  Lpl Financial, Llc
  Libertyville, IL
• 08/2023 → 09/2023
  Unemployed
  Grayslake, IL

Previous Registrations

• 2019-07-30 → 2023-07-10
  Ameriprise Financial Services, Llc
  Gurnee, IL
  Libertyville, IL
• 2015-08-28 → 2019-07-10
  Edward Jones
  Grayslake, IL
  St Louis, MO
  Grayslake, IL
  Grayslake, IL
  Highland Park, IL

Other Businesses

1- 09/2023 / WayFinder Financial Services LLC / DBA for LPL Business (entity for LPL business) / 160 HRS MNTH / 8 HRS DURING TRADING 2- 09/2023 / Mark C. Harms - Author / Author / NON INVESTMENT RELATED / 2 HRS MNTH / START DATE 3/30/2015 3) 04/21/2025 - WayFinder Financial Services - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:10/06/2023 - 8 Hrs/Mth - 8 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2015-06-13

Other Names

• Mark C Harms