Neil S. Harrison
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.
Neil Stephen Harrison was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1990. Neil had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2002 - May 9, 2003
WALNUT STREET SECURITIES, INC.
September 22, 1998 - March 26, 2002
AVANTAX INVESTMENT SERVICES, INC.
December 23, 1992 - January 1, 1998
ARAGON FINANCIAL SERVICES, INC.
May 20, 1991 - December 16, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 20, 1991 - July 6, 1994
SIGNATOR INVESTORS, INC.
July 12, 1990 - March 11, 1991
BACHUS & STRATTON SECURITIES, INC.
July 10, 1990 - July 11, 1990
PALM BEACH FINANCIAL, INC.
January 24, 1990 - June 12, 1990
MAXIM SECURITIES, 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
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
