Thomas E. Harlow
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.
Thomas Edmund Harlow, who also goes by Thomas Henry Sieminski, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1968. Thomas had worked at 8 firms and has passed the Series 63, Series 5, PC, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2002 - March 12, 2003
J.P. TURNER & COMPANY, L.L.C.
July 3, 1996 - September 30, 2002
SCHNEIDER SECURITIES, INC.
January 23, 1995 - July 1, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
April 3, 1990 - December 31, 1994
RAUSCHER PIERCE REFSNES, INC.
December 8, 1986 - March 23, 1990
SCHNEIDER SECURITIES, INC.
February 18, 1983 - February 8, 1985
MORGAN STANLEY DW INC.
May 12, 1978 - February 19, 1983
E. F. HUTTON & COMPANY INC
March 29, 1974 - February 24, 1978
RAUSCHER PIERCE REFSNES, INC.
May 6, 1971 - March 29, 1974
RAUSCHER PIERCE SECURITIES CORPORATION
June 17, 1968 - June 3, 1971
KIDDER, PEABODY & CO., INCORPORATED
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
Series 5
Date: 9/25/1981
Interest Rate Options ExaminationPC
Date: 6/28/1977
AMEX Put and Call ExamSeries 000
Date: 6/14/1968
General Securities Principal ExaminationSeries 1
Date: 6/14/1968
Registered Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
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.
