Susan D. Harl
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.
Susan Diane Harl, who also goes by Susan Diane Arrigan, Susan Harl Barton, Susan D Harl, Susan Harl, was a registered financial advisor .
Susan is a previously registered financial advisor and started their career in finance in 1983. Susan had worked at 13 firms and has passed the Series 66, Series 63, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2008 - January 21, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 19, 2006 - December 5, 2006
GENEOS WEALTH MANAGEMENT, INC.
April 18, 2006 - December 5, 2006
GENEOS WEALTH MANAGEMENT, INC.
May 19, 2004 - March 6, 2006
SECURITIES AMERICA ADVISORS, INC.
March 26, 2003 - March 3, 2006
SECURITIES AMERICA, INC.
August 9, 2002 - August 27, 2002
MOUNTAIN RIVER SECURITIES, INC.
December 19, 1996 - May 4, 1999
D.E. FREY & COMPANY, INC.
May 17, 1995 - December 4, 1996
ROUND HILL SECURITIES, INC.
August 29, 1990 - October 10, 1995
CAI SECURITIES CORPORATION
August 9, 1988 - October 4, 1988
CAPITAL BROKERAGE CORPORATION
December 19, 1986 - March 24, 1988
BNY MELLON SECURITIES CORPORATION
October 16, 1985 - October 16, 1986
PACIFIC SECURITIES, INC.
March 20, 1985 - May 20, 1985
CHARLES SCHWAB & CO., INC.
December 21, 1983 - December 13, 1984
FIDELITY BROKERAGE SERVICES LLC
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
