Harold J. Maskery
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.
Harold John Maskery III, who also goes by Hal Maskery, Harold John Maskery, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1987. Harold had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3, Series 2 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
August 30, 2016 - July 2, 2018
TRUEPOINT, INC.
October 16, 2015 - August 26, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 16, 2015 - August 26, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 2015 - May 27, 2015
J.P. MORGAN SECURITIES LLC
February 2, 2015 - May 27, 2015
J.P. MORGAN SECURITIES LLC
June 6, 2013 - December 8, 2014
FISHER INVESTMENTS
January 30, 2007 - October 8, 2007
CITIGROUP GLOBAL MARKETS INC.
October 7, 2006 - October 8, 2007
CITIGROUP GLOBAL MARKETS INC.
June 7, 2006 - January 5, 2007
BLACKROCK FINANCIAL MANAGEMENT, INC
April 13, 2006 - June 9, 2006
BLACKROCK CAPITAL MANAGEMENT, INC.
August 22, 2003 - January 5, 2007
BLACKROCK INVESTMENTS, LLC
May 21, 1987 - December 22, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TRUEPOINT, INC.
CRD#: 105664 / SEC#: 801-25433
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 2
Date: 11/3/1992
Non-Member General Securities ExaminationCurrent Firm
TRUEPOINT, INC.
CRD#: 105664 / SEC#: 801-25433
Contact information
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,863 |
| AUM (Assets Under Management) | $ 5,391,465,030 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/08/2024 | ||
| 10/06/2023 | ||
| 01/11/2023 |
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.
