Harry E. Asmussen
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.
Harry Eugene Asmussen was a registered financial advisor .
Harry is a previously registered financial advisor and started their career in finance in 1985. Harry had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - February 6, 2013
NEWPORT COAST SECURITIES, INC.
November 8, 2011 - February 6, 2013
NEWPORT COAST SECURITIES, INC.
November 4, 2011 - July 17, 2012
NEWPORT COAST SECURITIES, INC.
April 7, 2011 - October 1, 2011
MGM LLC
August 17, 2010 - October 7, 2011
TLG ADVISORS, INC.
August 17, 2010 - October 7, 2011
THE LEADERS GROUP, INC.
July 5, 2000 - July 2, 2010
PRUCO SECURITIES, LLC.
June 20, 1985 - July 2, 2010
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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