Timothy E. Haarmann
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.
Timothy Edward Haarmann was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1969. Timothy had worked at 5 firms and has passed the SIE, Series 7, PC, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2003 - December 15, 2015
LOOMIS SAYLES DISTRIBUTORS, L.P.
December 18, 2002 - January 6, 2016
LOOMIS, SAYLES & COMPANY, L.P.
July 14, 1994 - September 18, 1996
NATWEST SECURITIES CORPORATION
May 19, 1978 - June 21, 1990
KIDDER, PEABODY & CO. INCORPORATED
December 9, 1969 - May 19, 1978
KIDDER, PEABODY & CO., 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
Exams
PC
Date: 4/25/1979
AMEX Put and Call ExamSeries 1
Date: 12/5/1969
Registered Representative ExaminationSeries 40
Date: 12/2/1978
Registered Principal ExaminationCurrent Firm
LOOMIS SAYLES DISTRIBUTORS, L.P.
CRD#: 41795 / SEC#: , 8-49575
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOOMIS SAYLES & COMPANY, L.P. | LIMITED PARTNER OF REGISTRANT AND 100% OWNER OF GENERAL PARTNER | |
| KLOCEK, JOHN FRANCIS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6256015 |
| LEGER, MAURICE PAUL | PRESIDENT | 4575004 |
| LOOMIS SAYLES DISTRIBUTORS, INC. | SOLE GENERAL PARTNER | |
| MCCARTHY, MARY | VP, SECRETARY | |
| O'CONNOR, OLGA A. | VICE PRESIDENT, TREASURER, PRINCIPAL FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 7436902 |
Red Flags
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