Harold R. Madison
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.
Harold Reed Madison was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1984. Harold had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO, SIE, Series 3, 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
January 4, 2016 - March 1, 2021
COLORADO FINANCIAL SERVICE CORPORATION
January 8, 2013 - December 31, 2015
HALEN CAPITAL
January 6, 2010 - December 31, 2012
BUCKMAN, BUCKMAN & REID, INC.
January 26, 2009 - December 31, 2009
COLORADO FINANCIAL SERVICE CORPORATION
April 18, 2006 - January 27, 2009
GENESIS GLOBAL TRADING, INC
June 2, 2004 - April 13, 2006
BRITEHORN SECURITIES
February 12, 1999 - May 12, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - May 12, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 28, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 8, 1994 - July 31, 1997
PIPER SANDLER & CO.
September 21, 1987 - July 1, 1994
RAUSCHER PIERCE REFSNES, INC.
July 15, 1986 - September 30, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
July 26, 1984 - July 25, 1986
LEHMAN BROTHERS 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
Series 7TO
Date: 3/31/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/31/2024
Investment Banking Registered Representative ExaminationCurrent Firm
COLORADO FINANCIAL SERVICE CORPORATION
CRD#: 104343 / SEC#: 801-76716, 8-52817
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
