Jeffrey K. Harpel
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.
Jeffrey Keith Harpel was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1980. Jeffrey had worked at 30 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2023 - March 31, 2025
FIDELITY & GUARANTY SECURITIES, LLC
August 29, 2022 - April 30, 2024
CASH APP INVESTING LLC
June 14, 2022 - May 22, 2024
EXOS SECURITIES LLC
September 15, 2021 - February 1, 2022
CASH APP INVESTING LLC
February 10, 2021 - April 25, 2024
EXCELSIOR EQUITIES
June 7, 2019 - May 1, 2024
AKUNA SECURITIES LLC
May 2, 2019 - April 2, 2025
LAZEAR CAPITAL SECURITIES, LLC
March 12, 2019 - August 26, 2024
ACERVUS SECURITIES, INC.
July 9, 2018 - July 17, 2025
ONECHRONOS
April 13, 2018 - January 29, 2020
REDTAIL CAPITAL MARKETS, LLC
April 5, 2018 - September 28, 2018
GAGE-WILEY & CO., INC.
November 3, 2017 - February 28, 2019
INTEGRAL EQUITIES RESEARCH LLC
September 28, 2016 - June 1, 2021
SECURITIZE MARKETS, LLC
September 15, 2015 - July 10, 2017
COLLINGWOOD CAPITAL ADVISORS, LLC
May 1, 2015 - February 13, 2017
KSBD, LLC
November 15, 2013 - March 22, 2016
EPOCH SECURITIES, INC.
June 13, 2013 - February 9, 2016
MEDALIST SECURITIES INC.
January 30, 2013 - August 12, 2025
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 30, 2012 - September 3, 2013
SAMMONS FINANCIAL NETWORK, LLC
June 15, 2011 - April 4, 2025
BUTLER CAPITAL PARTNERS
May 19, 2011 - April 3, 2025
MCDERMOTT INVESTMENT SERVICES, LLC
November 5, 2010 - April 25, 2024
AGECROFT PARTNERS, LLC
September 28, 2010 - June 28, 2013
SIP NORDIC AMERICA LLC
June 7, 2010 - October 2, 2018
ENVERRA CAPITAL LLC
May 14, 2010 - April 1, 2025
MCMG CAPITAL ADVISORS, INC.
March 3, 2010 - July 31, 2012
MARRIOTT SECURITIES, LLC
March 15, 2006 - January 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 15, 2006 - January 2, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 2, 2003 - January 2, 2009
FIRST CLEARING, LLC
October 16, 1998 - April 11, 2003
FIRST CLEARING, LLC
January 1, 1991 - January 28, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 14, 1980 - January 1, 1991
BUTCHER & SINGER 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FIDELITY & GUARANTY SECURITIES, LLC
CRD#: 315720 / SEC#: , 8-70916
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY & GUARANTY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| ANDERSON, STEPHEN FRANCIS | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 1181095 |
| BARRETT, RONALD JOHN JR | DIRECTOR | 2480222 |
| CANTONWINE, TESSA ELIZABETH | SECRETARY | 5626630 |
| OLSON, THOMAS G | CHIEF EXECUTIVE OFFICE AND DIRECTOR | 2393888 |
| PHELPS, JOHN A | DIRECTOR | 5664815 |
| RIP, OLGA | FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER | 5440553 |
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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