Gary A. Harm
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.
Gary Alan Harm SR, who also goes by Gary Alan Harm, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1974. Gary had worked at 9 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
January 28, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
March 28, 1994 - December 31, 1995
MUTUAL SERVICE CORPORATION
May 26, 1993 - December 31, 1993
MUTUAL SERVICE CORPORATION
October 31, 1991 - November 30, 2004
WOODBURY FINANCIAL SERVICES, INC.
December 14, 1990 - October 7, 1991
VERAVEST INVESTMENTS, INC.
February 1, 1988 - December 19, 1989
TITAN/VALUE EQUITIES GROUP, INC.
August 27, 1987 - November 30, 1987
B.C. CHRISTOPHER SECURITIES CO.
February 20, 1985 - August 29, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 11, 1981 - March 4, 1985
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 26, 1974 - November 10, 1978
ACACIA EQUITY SALES CORPORATION
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/22/1974
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
