Harold G. Kern
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 Gambill Kern II, who also goes by Harold Gambill Kern, Skip Kern, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1984. Harold had worked at 6 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - November 18, 2002
LORING WARD SECURITIES INC.
October 29, 1993 - January 1, 1999
REINHARDT WERBA BOWEN SECURITIES, INC.
November 19, 1989 - October 1, 1993
OSAIC WEALTH, INC.
March 21, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 14, 1985 - April 17, 1988
1717 CAPITAL MANAGEMENT COMPANY
October 29, 1984 - April 8, 1985
BOARDWALK CAPITAL CORPORATION
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
LORING WARD SECURITIES INC.
CRD#: 46337 / SEC#: , 8-51381
Contact information
Documents
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 |
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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