Scot A. Harenburg
Professional summary
Scot Alan Harenburg is a registered financial professional currently at CARL M. HENNIG, INC. located in Oshkosh, Wisconsin.
Scot is registered as a RR (Registered Representative) and started their career in finance in 1993. Scot has worked at 1 firm and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scot Alan Harenburg's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 1993 - Present
CARL M. HENNIG, INC.
Office #1: 206 N Main Street, Oshkosh, WI 54901State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/29/2016)
(4/29/1993)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/15/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
CARL M. HENNIG, INC.
CRD#: 140 / SEC#: , 8-14509
Contact information
FINRA licenses (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24 |
| AUM (Assets Under Management) | $ 24,700,000 |
Disclosures
| Regulatory Event | 3 |
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.
