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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

MARK PATRICK HARRIE

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Muskegon, MI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 28, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 27, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 27, 2005
First registration: Jan 28, 2005
Dual registered: yes, broker-dealer
Other names: MARK P HARRIE
IAPD individual key: 4884488

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Sep 14, 2020	n/a	yes	Muskegon, MI	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jul 28, 2017	Sep 14, 2020	no	LUDINGTON, MI	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jun 20, 2008	Aug 1, 2017	no	FERRYSBURG, MI\|MUSKEGON, MI\|LUDINGTON, MI\|FRUITPORT, MI\|MUSKEGON, MI\|RAVENNA, MI\|FREMONT, MI\|MUSKEGON, MI\|WHITEHALL, MI\|MUSKEGON, MI\|HART, MI\|MUSKEGON, MI	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 28, 2005	May 10, 2006	no	MUSKEGON, MI\|MUSKEGON, MI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA INVESTMENT ADVISERS LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Sep 14, 2020	Sep 14, 2020	0	Firm change	Ibd to ibd
FIFTH THIRD SECURITIES, INC.	CETERA INVESTMENT ADVISERS LLC	Aug 1, 2017	Jul 28, 2017	-4	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FIFTH THIRD SECURITIES, INC.	May 10, 2006	Jun 20, 2008	772	Firm change after gap	Other

Relationships

Registered with (4)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Sep 14, 2020 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jul 28, 2017 to Sep 14, 2020factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Jun 20, 2008 to Aug 1, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 28, 2005 to May 10, 2006factForm ADV

Dated events

No dated event names this entity yet.