Michael P. Harrison
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.
Michael Paul Wayne Harrison, who also goes by Mike Harrison, Paul Wayne Kasper, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 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
January 3, 2012 - August 26, 2021
J.W. COLE FINANCIAL, INC.
August 1, 2011 - December 23, 2011
J.W. COLE FINANCIAL, INC.
May 4, 2006 - August 1, 2011
WALNUT STREET SECURITIES, INC.
June 19, 1998 - November 2, 2006
WALNUT STREET ADVISERS INC
April 3, 1998 - August 1, 2011
WALNUT STREET SECURITIES, INC.
May 11, 1993 - April 3, 1998
AEGON USA SECURITIES INC.
November 13, 1989 - May 4, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 21, 1989 - May 4, 1993
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - September 23, 1989
LEHMAN BROTHERS INC.
October 25, 1985 - April 11, 1988
E. F. HUTTON & COMPANY INC
February 24, 1984 - November 5, 1985
BLINDER, ROBINSON & CO., INC.
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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
