Harlan A. Perry
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.
Harlan A Perry was a registered financial professional .
Harlan is a previously registered financial professional and started their career in finance in 1987. Harlan had worked at 16 firms and has passed the Series 63, Series 7, Series 15 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 17, 2008 - May 1, 2008
SYNDICATED CAPITAL, INC.
May 4, 2005 - July 6, 2006
ASHRAF CAPITAL CORP.
January 25, 2000 - April 16, 2003
FOX & COMPANY INVESTMENTS INC.
September 8, 1999 - February 10, 2000
RH INVESTMENT CORPORATION
May 19, 1995 - June 7, 1999
FINANCE 500, INC.
March 20, 1995 - May 26, 1995
CAMDEN FINANCIAL SERVICES
December 8, 1994 - May 18, 1995
ROBERT SCOTT SECURITIES, INC.
August 12, 1994 - October 26, 1994
INCOME NETWORK COMPANY
February 8, 1994 - June 22, 1994
AMERICAN BUSINESS SECURITIES, INC.
November 19, 1993 - January 25, 1994
ROTH CAPITAL PARTNERS, LLC
June 21, 1993 - November 12, 1993
SAN CLEMENTE SECURITIES, INC.
September 23, 1992 - April 13, 1993
THE INVESTMENT CENTER, INC.
March 13, 1992 - September 25, 1992
FIRST ASSOCIATED SECURITIES GROUP, INC.
July 18, 1991 - December 23, 1991
REPUBLIC SECURITIES, INC.
May 9, 1991 - July 3, 1991
FINANCIAL WEST GROUP
November 7, 1990 - March 8, 1991
REPUBLIC SECURITIES, INC.
January 1, 1988 - March 8, 1991
REPUBLIC SECURITIES, INC.
May 21, 1987 - October 4, 1989
KETTLER & COMPANY
Primary Firm SEC Registration
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
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 15
Date: 6/27/1986
Foreign Currency Options ExaminationCurrent Firm
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SC ADD HOLDINGS, LLC | OWNER | |
| BAINES AND MCADAMS LIVING TRUST | OWNER | |
| BAINES, HEATHER UNA | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 2173889 |
| LEE, FAITH | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 2715226 |
| MCADAMS, JOSEPH LLOYD JR | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 2173886 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 122,987,781 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
