John Douglas Harding
Professional Summary
John Douglas Harding was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1969 - 2019. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
61 years in the financial services industry
Current & Past Employments
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Current Firm
ADVISORY GROUP EQUITY SERVICES LTD. | INTEGRATED FINANCIAL STRATEGIES, INC. | AGES FINANCIAL SERVICES, LTD. | ADVISORY INVESTMENT SERVICES, LTD.
Contact Information
Established
Massachusetts since 06/25/1984Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
4Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 1 — Registered Representative Examination
Passed Jun 1965Series 40 — Registered Principal Examination
Passed Feb 1969Series 12 — NYSE Branch Manager Examination
Passed Feb 1969Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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