Stephen P. Harrington
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Patrick Harrington was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 7 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 1997 - July 22, 1998
SHAMROCK PARTNERS, LTD
October 27, 1992 - November 1, 1995
CORTLANDT CAPITAL CORPORATION
March 6, 1992 - October 5, 1992
NORCROSS & COMPANY
March 25, 1991 - February 28, 1992
CENPAC SECURITIES CORP.
December 7, 1989 - March 6, 1991
FINANCIAL EQUITIES RESOURCES, INC.
March 9, 1987 - March 5, 1990
BAILEY, MARTIN & APPEL, INC.
November 24, 1982 - January 14, 1987
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SHAMROCK PARTNERS, LTD
CRD#: 23955 / SEC#: , 8-40676
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
