Harrison W. Maxfield
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.
Harrison Walter Maxfield III, who also goes by Harry Walter Maxfield III, Harry W Maxfield III, was a registered financial professional .
Harrison is a previously registered financial professional and started their career in finance in 1985. Harrison had worked at 7 firms and has passed the Series 63, Series 3, Series 55, Series 7, Series 28, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2008 - November 10, 2011
BOSTON MERCHANT FINANCIAL SERVICES, INC.
June 6, 2008 - August 25, 2008
SECURITIES AMERICA, INC.
February 6, 1989 - June 12, 2006
BROWNCO, LLC
January 27, 1988 - June 28, 1989
INVEST FINANCIAL CORPORATION
August 11, 1987 - September 28, 1987
NEW ENGLAND DISCOUNT BROKERAGE, INC.
December 10, 1985 - May 19, 1987
CLAYTON, POLLEYS & CO., INC.
May 31, 1985 - November 21, 1985
UBS FINANCIAL SERVICES 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 55
Date: 11/9/2005
Limited Representative-Equity Trader ExamSeries 28
Date: 1/12/2010
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 7/27/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BOSTON MERCHANT FINANCIAL SERVICES, INC.
CRD#: 23739 / SEC#: , 8-40577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMP STANDARD, LLC. | OWNER | |
| CITI INDEX INC | OWNER | |
| MAXFIELD, HARRISON WALTER III | CHIEF COMPLIANCE OFFICER | 1326921 |
Disclosures
| Regulatory Event | 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.
