Harriett A. Macdonald
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.
Harriett Ann Macdonald, who also goes by Harriett Ann Trachy, was a registered financial professional .
Harriett is a previously registered financial professional and started their career in finance in 1983. Harriett had worked at 5 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2010 - December 31, 2015
SPC
October 23, 2006 - December 31, 2015
SIGMA FINANCIAL CORPORATION
January 9, 2003 - October 26, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 8, 1985 - December 31, 2002
MUTUAL SERVICE CORPORATION
October 25, 1983 - July 26, 1985
DERAND/PENNINGTON/BASS, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
