Harry G. Mumford
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 Griffin Mumford, who also goes by Toby Mumford, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1984. Harry had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2010 - December 31, 2012
TREASURY BROKERAGE
August 29, 1995 - March 5, 2007
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
August 28, 1995 - November 25, 2008
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 16, 1994 - August 29, 1995
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
March 24, 1993 - June 1, 1993
TEMPLETON FUNDS DISTRIBUTOR, INC.
February 24, 1984 - September 16, 1994
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
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
TREASURY BROKERAGE
CRD#: 140855 / SEC#: , 8-67345
Contact information
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TREASURY HOLDINGS LLC | PARENT COMPANY | |
| CHAZEN, ARON L | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 2211603 |
| CHAZEN, ARON L | COMPLIANCE OFFICER | 2211603 |
| KAMINSKI, CHRISTOPHER JOHN | MANAGING MEMBER | 2585962 |
| MOYE, CELESTE WILLAT | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 6566618 |
| MOYE, CELESTE WILLAT | FINANCIAL OPERATIONS PRINCIPAL | 6566618 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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