Harold J. Perkins

CONTINUUM FINANCIAL

Statesville, NC

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CRD#: 1219540

Professional summary

Harold James Perkins is a registered financial advisor currently at CONTINUUM FINANCIAL, LLC located in Statesville, North Carolina.

Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Harold has worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold James Perkins's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 17, 2009 - Present

CONTINUUM FINANCIAL, LLC

RIA

CRD#: 151881

Statesville, NC

Past

February 8, 2002 - December 1, 2009

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HUMBLE, TX

Past

January 8, 2002 - December 1, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

HUMBLE, TX

Past

September 22, 1999 - November 20, 2001

HAND SECURITIES, INC

CRD#: 45198

HOUSTON, TX

Past

February 1, 1984 - July 12, 1993

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(2/19/2019)

IAR

North Carolina
(2/23/2022)

IAR

Texas
(11/17/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/14/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/20/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/21/1999

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/8/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/30/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CONTINUUM FINANCIAL, LLC

CRD#: 151881 / SEC#: 801-70698

RIA

Registered Investment Advisory firm - (6/7/2012 Terminated)

Louisiana

Registered Investment Advisory firm - (2/18/2019 Approved)

North Carolina

Registered Investment Advisory firm - (2/23/2022 Approved)

Texas

Registered Investment Advisory firm - (6/5/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Granite Falls, NC

Mailing Address

Phone number

(281) 731-6477

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	28
AUM (Assets Under Management)	$ 51,674,571

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.

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Harold J. Perkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold James Perkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

HAND SECURITIES, INC

GUARDIAN INVESTOR SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/14/2001

Series 63

Date: 10/20/1999

Series 7

Date: 9/21/1999

Series 22

Date: 10/8/1984

Series 6

Date: 1/30/1984

Current Firm

CONTINUUM FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CONTINUUM FINANCIAL, LLC

TRUST BUT VERIFY

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