Douglas C. Harding
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.
Douglas Charles Hanks Harding, who also goes by Douglas Charles Harding, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1996. Douglas had worked at 6 firms and has passed the Series 65, Series 63 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
July 12, 2012 - October 15, 2014
INTEROCEAN CAPITAL, LLC
January 13, 2011 - February 28, 2012
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 2, 2009 - December 13, 2010
GUARDIAN INVESTOR SERVICES LLC
June 15, 2005 - December 22, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
January 19, 2000 - April 15, 2005
PACIFIC SELECT DISTRIBUTORS, LLC
October 11, 1996 - April 13, 1999
MANULIFE WOOD LOGAN, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INTEROCEAN CAPITAL, LLC
CRD#: 136887 / SEC#: 801-64666
Contact information
Red Flags
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