James M. Harp
Professional summary
James Michael Harp was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, James had worked at 4 firms, which includes AMERICAN UNITED LIFE INSURANCE COMPANY, NATIONWIDE INVESTMENT SERVICES CORPORATION, NATIONAL PLANNING CORPORATION, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 1997 - April 9, 1998
AMERICAN UNITED LIFE INSURANCE COMPANY
August 1, 1996 - September 30, 1997
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 10, 1992 - January 20, 1995
NATIONAL PLANNING CORPORATION
April 26, 1984 - September 5, 1991
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
AMERICAN UNITED LIFE INSURANCE COMPANY
CRD#: 1075 / SEC#: 801-8074, 8-13671
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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