Charles D. Harmon
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.
Charles Dietz Harmon was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 13 firms and has passed the Series 63, 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
July 9, 2001 - December 31, 2002
THE INVESTMENT CENTER, INC.
January 23, 2001 - July 10, 2001
SECURITIES AMERICA, INC.
October 1, 1999 - February 2, 2001
IFMG SECURITIES, INC.
January 26, 1999 - October 1, 1999
MARKETING ONE SECURITIES, INC.
October 21, 1998 - November 6, 1998
SUMMIT FINANCIAL SERVICES GROUP, INC.
July 29, 1997 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
October 13, 1994 - June 13, 1997
JANNEY MONTGOMERY SCOTT LLC
August 19, 1994 - October 24, 1994
H.J. MEYERS & CO., INC.
August 5, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
April 14, 1989 - September 15, 1994
HIBBARD BROWN & CO., INC.
January 4, 1988 - May 23, 1988
GRAYSTONE NASH, INC.
March 3, 1987 - December 22, 1987
UBS FINANCIAL SERVICES INC.
April 26, 1985 - March 13, 1987
BLINDER, ROBINSON & 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
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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.
