Julie A. Harrington
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.
Julie Ann Harrington, who also goes by Julie Ann Lechman, was a registered financial professional .
Julie is a previously registered financial professional and started their career in finance in 1987. Julie had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2020 - December 31, 2023
TD AMERITRADE, INC.
October 4, 2013 - June 16, 2026
CHARLES SCHWAB & CO., INC.
May 23, 2007 - May 29, 2013
PERSHING ADVISOR SOLUTIONS LLC
October 2, 2006 - May 10, 2007
LTC INVESTMENT SERVICES, INC.
April 30, 2002 - November 18, 2004
GUGGENHEIM DISTRIBUTORS, LLC
October 7, 1998 - April 16, 2002
FIDELITY BROKERAGE SERVICES LLC
September 14, 1987 - March 14, 1996
CHARLES SCHWAB & 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
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.
