Tae H. 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.
Tae Hong Harte, who also goes by Mary Hong, Tae K Hong, Tae Kyung Hong, was a registered financial professional .
Tae is a previously registered financial professional and started their career in finance in 1997. Tae had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2018 - May 1, 2024
SARGENT INVESTMENT GROUP
September 17, 2008 - August 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
February 24, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
SARGENT INVESTMENT GROUP
CRD#: 297499 / SEC#: 801-113542
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
SARGENT INVESTMENT GROUP
CRD#: 297499 / SEC#: 801-113542
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,258 |
| AUM (Assets Under Management) | $ 1,282,044,465 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/23/2022 |
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.
