Barton L. Harter
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.
Barton Lee Harter, who also goes by Bart Harter, Barton L. Harter, Barton Harter, was a registered financial professional .
Barton is a previously registered financial professional and started their career in finance in 1988. Barton had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2014 - August 21, 2015
PURSHE KAPLAN STERLING INVESTMENTS
June 4, 2014 - April 8, 2020
GLOBAL VIEW CAPITAL MANAGEMENT LLC
November 4, 2013 - May 23, 2014
CETERA WEALTH SERVICES, LLC
August 6, 2012 - May 23, 2014
CETERA WEALTH SERVICES, LLC
May 21, 2003 - August 6, 2012
FSC SECURITIES CORPORATION
October 28, 2002 - May 20, 2003
WATERSTONE FINANCIAL GROUP, INC.
July 27, 1989 - October 28, 2002
DREHER & ASSOCIATES, INC.
October 31, 1988 - July 10, 1989
FSC SECURITIES CORPORATION
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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