Thomas Alan Harenburg
Professional Summary
Thomas Alan Harenburg is a registered financial advisor currently at CARL M. HENNIG, INC. located in Oshkosh, Wisconsin. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1968. Thomas has worked at 1 firm and has passed the Series 63, Series 57TO, Series 7TO, Series 99TO, Series 52TO, SIE, Series 55, Series 1, Series 24, Series 14, Series 27 and Series 00 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
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Disclosures on record.
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Years of Experience
61 years in the financial services industry
Current & Past Employments
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Current Firm
CARL M. HENNIG, INC.
Contact Information
Main Address
206 North Main Street, Oshkosh, WI 54901-4815Mailing Address
206 North Main Street, Oshkosh, WI 54901Phone Number
+1 (920) 231-6630Established
Wisconsin since 01/02/1969Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Small# of Employees
1FINRA licenses (15 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
30AUM (Assets Under Management)
$27,600,000Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(11/7/1997)
(11/7/1997)
(9/16/1997)
(4/18/2005)
(7/27/1993)
(8/26/1983)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 2000Series 1 — Registered Representative Examination
Passed Aug 1965Series 00 — General Securities Principal Examination
Passed Dec 1968SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Alan Harenburg's CRS (Customer Relationship Summary).
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