Harald Duell
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.
Harald Duell was a registered financial professional .
Harald is a previously registered financial professional and started their career in finance in 1986. Harald had worked at 7 firms and has passed the 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
March 3, 2010 - December 26, 2015
ARDOUR CAPITAL INVESTMENTS, LLC
November 1, 2006 - June 24, 2009
COMMERZBANK CAPITAL MARKETS CORP.
April 2, 2001 - August 13, 2001
SAL. OPPENHEIM JR. & CIE. SECURITIES INC.
April 3, 2000 - March 22, 2001
UNICREDIT CAPITAL MARKETS LLC
November 22, 1989 - August 29, 1995
GT GLOBAL, INC.
April 13, 1987 - February 18, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
April 3, 1986 - March 25, 1987
CIBC WORLD MARKETS CORP.
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: 9/7/2011
Limited Representative-Equity Trader ExamCurrent Firm
ARDOUR CAPITAL INVESTMENTS, LLC
CRD#: 120574 / SEC#: , 8-65317
Contact information
FINRA licenses (9 States and Territories)
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.
