Earl Jefferson

7TH HARVEST INVESTMENTS

Dallas, TX 75248

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CRD#: 2111738

Professional summary

Earl Jefferson JR, CFP®, who also goes by Earl Jr Jefferson, is a registered financial advisor currently at 7TH HARVEST INVESTMENTS located in Dallas, Texas.

Earl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Earl has worked at 11 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Earl Jr Jefferson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MR. JEFFERSON AT TIMES WILL SERVE AS ADJUNCT PROFESSOR AT SOUTHERN METHODIST UNIVERSTIY, 6425 BOAZ LANE DALLAS, TEXAS 75205. HE IS ALSO A LICENSED INSURANCE AGENT FOR VARIOUS INSURANCE PROVIDERS. HE SPENDS LESS THAN 10 HOURS A MONTH IN THESE CAPACITIES. THESE RELATED ACTIVITIES ARE RARELY CONDUCTED DURING MARKET TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Earl Jefferson JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

April 3, 2006 - Present

7TH HARVEST INVESTMENTS

Office #1: 17250 Dallas Parkway, Dallas, TX 75248

RIA

CRD#: 139792

Dallas, TX

Past

September 5, 2007 - January 9, 2013

BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.

CRD#: 124902

IRVING, TX

Past

February 15, 2007 - September 4, 2007

WINDWARD CAPITAL INC.

CRD#: 142245

PRINCETON, NJ

Past

August 28, 2002 - March 16, 2006

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

March 2, 2000 - August 1, 2002

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

DALLAS, TX

Past

March 2, 2000 - August 1, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

June 7, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

June 7, 1999 - November 6, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

July 12, 1994 - November 8, 1994

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

February 1, 1994 - July 6, 1994

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 1, 1993 - December 7, 1993

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

December 3, 1990 - June 3, 1991

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(4/3/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/28/1999

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/4/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/28/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/2007

General Securities Principal Examination

Current Firm

7TH HARVEST INVESTMENTS

7TH HARVEST INVESTMENTS | LEGACYTEXAS WEALTH ADVISORS, LLC | LEGACYTEXAS WEALTH ADVISORS | LEGACY TEXAS WEALTH ADVISORS, LLC

CRD#: 139792 / SEC#: 801-68997

RIA

Registered Investment Advisory firm - (4/22/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/10/2013 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

17250 Dallas Parkway, Dallas, TX 75248

Mailing Address

Phone number

(972) 231-1525

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	224
AUM (Assets Under Management)	$ 77,958,742

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.

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Advisor Monitoring

Firm Stability Insights

Earl Jefferson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Earl Jefferson JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.

WINDWARD CAPITAL INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

INVESTACORP, INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/1999

Series 63

Date: 9/7/1993

Series 7

Date: 6/4/1999

Series 6

Date: 11/28/1990

Series 24

Date: 6/7/2007

Current Firm

7TH HARVEST INVESTMENTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

7TH HARVEST INVESTMENTS

TRUST BUT VERIFY

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