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JH

John Newton Harman

CRD# 1191894·Registered 1983 - 1991
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Newton Harman was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1983 - 1991. John had worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

EDGE SECURITIES, INC.·CRD# 21881
BD
February 26, 1991 - October 1, 1991
OLD SLIP CAPITAL MANAGEMENT, INC.·CRD# 7360
BD
April 5, 1989 - December 13, 1990
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
February 23, 1987 - April 27, 1989
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
March 25, 1985 - February 27, 1987
CRALIN & CO., INC.·CRD# 7605
BD
November 30, 1984 - April 8, 1985
MORGAN STANLEY DW INC.·CRD# 7556
BD
September 22, 1983 - November 30, 1984

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Current Firm

ES
EDGE SECURITIES, INC.

EDGE SECURITIES, INC. | PURITAN FINANCIAL CENTERS

CRD#: 21881 / SEC#: 8-39333
BD
Terminated by FINRA on 10/01/1991

Contact Information

Established

Florida since 07/01/1987

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1983About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Oct 1985About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Sep 1983About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JH
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