Harold F. Fife
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 Frank Fife was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1967. Harold had worked at 4 firms and has passed the Series 63, SIE, PC, Series 7, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 1992 - December 31, 2024
L.O. THOMAS & CO. INC.
December 2, 1982 - November 12, 1991
JANNEY MONTGOMERY SCOTT LLC
February 24, 1978 - January 21, 1983
MORGAN STANLEY DW INC.
May 2, 1967 - February 24, 1978
REYNOLDS 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
PC
Date: 9/6/1984
AMEX Put and Call ExamSeries 000
Date: 4/28/1967
General Securities Principal ExaminationSeries 1
Date: 4/28/1967
Registered Representative ExaminationCurrent Firm
L.O. THOMAS & CO. INC.
CRD#: 23657 / SEC#: , 8-40875
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RISLEY, JOHN WESLEY JR | PRESIDENT, FINOP, CEO,CCO | 844622 |
Disclosures
| Regulatory Event | 1 |
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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