Marletta L. Harkness
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.
Marletta Letitia Harkness, who also goes by Marletta L Harkness, Marletta Letitia Pirmann, was a registered financial professional .
Marletta is a previously registered financial professional and started their career in finance in 1998. Marletta had worked at 6 firms and has passed the Series 66, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2010 - February 22, 2012
PACIFIC INCOME ADVISERS INC
August 5, 2005 - December 31, 2007
FINANCIAL MANAGEMENT ADVISORS INC
May 22, 2003 - August 11, 2003
WINDERMERE INVESTMENT ASSOCIATES INC
October 4, 2001 - October 8, 2002
QUASAR DISTRIBUTORS, LLC
December 6, 2000 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
March 25, 1998 - March 28, 2003
OAKWOOD CAPITAL MANAGEMENT LLC
Primary Firm SEC Registration
PACIFIC INCOME ADVISERS INC
CRD#: 104719 / SEC#: 801-27828
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PACIFIC INCOME ADVISERS INC
CRD#: 104719 / SEC#: 801-27828
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,521 |
| AUM (Assets Under Management) | $ 2,107,440,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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