Christopher J. Harney
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.
Christopher Joseph Harney was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1985. Christopher had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, 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 17, 2014 - November 19, 2021
TD AMERITRADE, INC.
July 17, 2014 - November 19, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 17, 2014 - November 19, 2021
TD AMERITRADE, INC.
June 12, 2012 - July 8, 2014
MML INVESTORS SERVICES, LLC
May 25, 2012 - July 8, 2014
MML INVESTORS SERVICES, LLC
August 25, 2011 - April 10, 2012
ADVANCED EQUITIES, INC.
August 18, 2010 - April 10, 2012
ADVANCED EQUITIES, INC.
April 7, 2009 - June 4, 2009
JESUP & LAMONT SECURITIES CORP
January 26, 2007 - August 26, 2008
BTIG, LLC
February 3, 2003 - November 6, 2006
JONESTRADING
October 1, 1997 - November 13, 2002
BANC OF AMERICA SECURITIES LLC
October 23, 1985 - October 1, 1997
MONTGOMERY SECURITIES
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: 5/8/2003
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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