Thomas A. Harenburg
Professional summary
Thomas Alan Harenburg is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Alan Harenburg's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 1968 - 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
(11/7/1997)
(11/7/1997)
(9/16/1997)
(4/18/2005)
(7/27/1993)
(8/26/1983)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 11/14/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 8/18/1965
Registered Representative ExaminationSeries 00
Date: 12/18/1968
General Securities Principal ExaminationFINRA
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
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