Francis M. Harte
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.
Francis Michael Harte was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1990. Francis had worked at 5 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2012 - March 15, 2013
ARTIO GLOBAL INSTITUTIONAL SERVICES LLC
December 15, 2005 - September 27, 2007
GAM SERVICES, INC.
September 2, 2003 - August 15, 2006
JULIUS BAER SECURITIES INC.
December 17, 1996 - July 19, 2002
COMMERZ MARKETS LLC
April 4, 1990 - December 17, 1996
KLEINWORT BENSON NORTH AMERICA 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
ARTIO GLOBAL INSTITUTIONAL SERVICES LLC
CRD#: 154652 / SEC#: , 8-68656
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARTIO GLOBAL HOLDINGS LLC | MEMBER | |
| BOCXE, HENDRICUS FRANCISCO | CHIEF COMPLIANCE OFFICER & EXECUTIVE PREPRESENTATIVE | 2759565 |
| CHAMBERS, THOMAS EDGAR JR | CHIEF FINANCIAL OFFICER & FINOP | 1743574 |
| MIRABELLA, LISA ANN | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 5334902 |
| WILLIAMS, ANTHONY GRAEME | CHIEF EXECUTIVE OFFICER | 3182090 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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