Sharon M. Harken
Professional summary
Sharon M. Harken, who also goes by Sharon M Cathcart, Sharon M Harken, Sharon Marie Harken, Sharon Robbins, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
Sharon is registered as a RR (Registered Representative) and started their career in finance in 1993. Sharon has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sharon M. Harken's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 17, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 49 North 400 West, Salt Lake City, UT 84101May 17, 2017 - November 2, 2022
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
May 16, 2017 - November 2, 2022
FIRST REPUBLIC SECURITIES COMPANY, LLC
December 16, 2003 - April 24, 2017
CHARLES SCHWAB & CO., INC.
December 12, 2003 - April 24, 2017
CHARLES SCHWAB & CO., INC.
September 23, 2002 - December 4, 2003
QUICK & REILLY, INC.
September 18, 2002 - December 4, 2003
QUICK & REILLY, INC.
April 26, 2001 - June 22, 2001
CITIGROUP GLOBAL MARKETS INC.
July 26, 2000 - October 6, 2000
MORGAN STANLEY DW INC.
September 14, 1999 - March 28, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 24, 1999 - September 15, 1999
A. G. EDWARDS & SONS, INC.
September 23, 1993 - April 6, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Salt Lake City, UT 84101TRUST BUT VERIFY
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