Harold Gambill Kern Ii
Professional Summary
Harold Gambill Kern II, who also goes by Harold Gambill Kern, Skip Kern, was a registered financial advisor. Harold was a previously registered financial professional and started their career in finance 1984 - 2002. Harold had worked at 6 firms and has passed the Series 7 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Harold Gambill Kern, Skip Kern
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
ASSANTE CAPITAL MANAGEMENT INC. | RWB SECURITIES INC. | LORING WARD SECURITIES INC.
Contact Information
Established
Delaware since 07/01/1998Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LORING WARD HOLDINGS INC. | SHAREHOLDER | — |
| CLINTON, MICHAEL RAY | TREASURER & CHIEF FINANCIAL OFFICER | 2721577 |
| DJEU, DEBORAH DAPHNE | CHIEF COMPLIANCE OFFICER | 2530202 |
| LEE, HOWARD HOA | CHIEF OPERATING OFFICER | 4640471 |
| LIU, NAN | FINOP | 5275954 |
| POTTS, ALEXANDER BENNETT | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1765245 |
| WONG, RAYMOND YAT CHI | MUNICIPAL SECURITIES PRINCIPAL | 4537916 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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