Harold J. Washam
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 Jackson Washam, who also goes by Hal Washam, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1985. Harold had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 31, 2001 - May 3, 2021
HARBOR CAPITAL MANAGEMENT INC
March 1, 1996 - December 23, 1998
MML INVESTORS SERVICES, LLC
March 29, 1985 - March 1, 1996
G. R. PHELPS & 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
HARBOR CAPITAL MANAGEMENT INC
CRD#: 106722 / SEC#: 801-38262
Contact information
Documents
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.
