John D. 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.
John Douglas Harding was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2017 - September 3, 2019
AGES FINANCIAL SERVICES, LTD.
August 22, 2005 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
August 26, 2004 - August 18, 2005
CLARK DODGE & CO., INC.
February 5, 2002 - September 12, 2002
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - September 12, 2002
PRUDENTIAL EQUITY GROUP, LLC
February 25, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
June 22, 1987 - March 5, 1988
MOSELEY SECURITIES CORPORATION
December 9, 1986 - March 2, 1988
HARDING SECURITIES INC.
June 18, 1985 - January 28, 1986
SECURITIES RESOURCE, INC.
September 21, 1982 - September 8, 1982
CRALIN SECURITIES COMPANY
September 21, 1982 - October 11, 1984
CRALIN & CO., INC.
September 26, 1978 - March 13, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 1978 - September 23, 1982
LEHMAN BROTHERS INC.
February 26, 1969 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 6/4/1965
Registered Representative ExaminationSeries 40
Date: 2/17/1969
Registered Principal ExaminationSeries 12
Date: 2/14/1969
NYSE Branch Manager ExaminationCurrent Firm
AGES FINANCIAL SERVICES, LTD.
CRD#: 15427 / SEC#: , 8-32155
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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