Harry J. Whitton
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.
Harry Joseph Whitton, who also goes by Harry Joseph Whitton III, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1991. Harry had worked at 10 firms and has passed the Series 63, Series 57TO, 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
September 16, 2019 - July 11, 2024
OLD MISSION MARKETS LLC
January 27, 2014 - June 7, 2018
VIRTU AMERICAS LLC
October 21, 2009 - January 27, 2014
GOLDMAN SACHS CUSTODY SOLUTIONS
January 7, 2009 - May 1, 2009
XSHARES SECURITIES LLC
December 1, 2006 - December 31, 2008
ALPS DISTRIBUTORS, INC.
March 22, 2004 - August 15, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC
January 7, 2000 - October 17, 2003
VP DISTRIBUTORS LLC
July 15, 1999 - December 7, 1999
BOFA DISTRIBUTORS, INC.
August 30, 1997 - July 15, 1999
KEYPORT FINANCIAL SERVICES CORP.
June 3, 1991 - February 12, 1997
GLOBAL ALTERNATIVE INVESTMENT SERVICES, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
OLD MISSION MARKETS LLC
CRD#: 281867 / SEC#: , 8-69691
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OLD MISSION FINANCIAL SERVICES LLC | OWNER | |
| GASTON, STEVEN JOHN | CHIEF COMPLIANCE OFFICER | 3094187 |
| GUZOWSKI, JOSEF MICHAEL | MANAGER, CEO | 2989719 |
| KEITH, ALLEN THOMAS | FINOP | 4457493 |
| MARQUEZ AVITIA, ERICA NMN | CHIEF OPERATING OFFICER | 5074353 |
| NICHOLS, PATRICK JAMES | MANAGER | 4757503 |
| RUSSINA, BRYAN SCOTT | MANAGER | 5031844 |
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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