Mark Herring
Mark Herring is a CFP-designated registered investment advisor at Wells Fargo Advisors, based in Santa Ana, CA, with 37 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
1551 N Tustin Ave, Ste 100, Santa Ana, CA, 92705
Get directionsHistory
Regulatory History (2)
Customer Dispute
August 2010Customer Dispute
July 1998Other Business Activities
Mark has 50% ownership in Harmony Wealth Management, dedicating full-time hours to it, including during trading hours. He also owns Fish-Crow LLC with his spouse, a farm and ranch, spending a few hours per week on it.
Employment History
Current Registrations
Wells Fargo Advisors
Wells Fargo Advisors Financial Network, LLCBroker
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Advisors
UBS Financial Services INC.Broker
UBS Financial Services INC.
A. G. Edwards & Sons, INC.Broker
Brokers Transaction Services, INC.Broker
The Investment Center, INC.Broker
Isfa CorporationBroker
State Registrations17 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.