Todd A. Harmon

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CRD#: 2227099

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.

Todd Allen Harmon was a registered financial advisor .

Todd is a previously registered financial advisor and started their career in finance in 1992. Todd had worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

May 13, 2002 - December 31, 2002

DALE BUCKNER, INC.

RIA

CRD#: 116342

AMARILLO, TX

Past

October 20, 1998 - December 31, 2002

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

January 28, 1997 - September 15, 1998

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

June 22, 1994 - March 21, 1995

LYN-HAYES FINANCIAL, INC.

CRD#: 36464

HOUSTON, TX

Past

April 16, 1992 - January 4, 1994

MMAR GROUP, INC.

CRD#: 25329

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DALE BUCKNER, INC.

CRD#: 116342 / SEC#: 801-110346

RIA

Registered Investment Advisory firm - (4/25/2017 Approved)

Texas

Registered Investment Advisory firm - (4/27/2017 Terminated)

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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 5/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/14/1992

General Securities Representative Examination

Current Firm

DALE BUCKNER, INC.

CRD#: 116342 / SEC#: 801-110346

RIA

Registered Investment Advisory firm - (4/25/2017 Approved)

Texas

Registered Investment Advisory firm - (4/27/2017 Terminated)

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Contact information

Main Address

301 S. Polk Suite 420, Amarillo, TX 79101

Mailing Address

P.o. Box 9700, Amarillo, TX 79105-9700

Phone number

+1 (806) 358-7977

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DALE BUCKNER, INC. (4/17/2025)

BRETT HANSEN SUPPLEMENT TO BROCHURE (3/28/2025)

DALE BUCKNER SUPPLEMENT TO BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	837
AUM (Assets Under Management)	$ 167,538,733

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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Todd A. Harmon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DALE BUCKNER, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SUNAMERICA SECURITIES, INC.

LYN-HAYES FINANCIAL, INC.

MMAR GROUP, INC.

Primary Firm SEC Registration

DALE BUCKNER, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/26/1992

Series 7

Date: 4/14/1992

Current Firm

DALE BUCKNER, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DALE BUCKNER, INC.

TRUST BUT VERIFY

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