Marc Harrison: FINRA Investigates Reid & Rudiger Advisor

New York City financial advisor Marc Harrison (CRD# 1605568) allegedly violated industry rules, according to an investigation into his conduct. Financial Industry Regulatory Authority records show that he is registered as a broker with Reid & Rudiger, whose website describes him as a co-founder of the firm.

Mr. Harrison’s BrokerCheck report discloses FINRA’s investigation into his conduct. Filed in August 2024, it states that FINRA made a preliminary determination to recommend disciplinary action against him, specifically alleging that he violated FINRA Rules 3110 and 2010 “for supervision concerning excessive trading and churning.” The investigation remains pending.

Reid & Rudiger’s website includes a profile of Mr. Harrison that describes his background and experience as the firm’s co-founder. “He has over 32 years of experience in the equity markets,” it states. “Mr. Harrison is the Chief Investment Strategist of Reid & Rudiger, where he is responsible for analyzing a wide variety of investments and asset classes including equities, debt, options, commodities and other investment vehicles.”

According to the Financial Industry Regulatory Authority, Marc Harrison holds 37 years of securities industry experience. Based in New York City, he has been registered as a broker with Reid & Rudiger since 1999. His past registrations include Emmett A. Larkin Company, Gruntal & Company, Rosenkrantz Lyon & Ross, North American Investment Corporation, LF Rothschild & Company, and Shearson Lehman Brothers. His credentials include the passage of eight securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Registered Options Principal Examination, or Series 4; the General Securities Representative Examination, or Series 7; the Research Analyst Exam – Part II Regulations Module, or Series 87; the Securities Industry Essentials Examination, or SIE; the Investment Banking Registered Representative Examination, or Series 79TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in California, Idaho, New Hampshire, New Jersey, and New York. (Information current as of November 18, 2024.)

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