Jeffrey P. 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.
Jeffrey Paul Harmon, who also goes by Jeffrey Harmon, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 8 firms and has passed the Series 63, SIE, 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
January 29, 2015 - August 17, 2015
HEADWATERS BD, LLC
November 14, 2007 - January 2, 2013
AGC PARTNERS
June 14, 2006 - October 5, 2007
B. RILEY SECURITIES, INC.
February 6, 2004 - February 28, 2006
RBC CAPITAL MARKETS CORPORATION
January 21, 2004 - February 6, 2004
RBC CAPITAL MARKETS, LLC
July 1, 1998 - January 7, 2004
COWEN AND COMPANY
March 24, 1992 - July 1, 1998
FINANCIAL SQUARE PARTNERS
October 20, 1987 - April 17, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
HEADWATERS BD, LLC
CRD#: 117042 / SEC#: , 8-53582
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
