Bernard J. Harmon
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.
Bernard Jay Harmon, who also goes by Bernard Harmon, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1962. Bernard had worked at 7 firms and has passed the Series 7TO, SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2013 - February 17, 2021
HENNION & WALSH, INC.
June 19, 1996 - December 31, 2013
PMK SECURITIES & RESEARCH, INC.
May 1, 1996 - May 23, 1996
PMK SECURITIES & RESEARCH, INC.
January 28, 1993 - May 24, 1996
RUAN SECURITIES CORPORATION
April 10, 1991 - December 12, 1992
LEHWALD, OROSEY & PEPE INCORPORATED
January 6, 1977 - January 25, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
February 28, 1962 - February 6, 1976
DREXEL BURNHAM & 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/29/1977
AMEX Put and Call ExamSeries 1
Date: 5/3/1960
Registered Representative ExaminationSeries 40
Date: 6/12/1972
Registered Principal ExaminationCurrent Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
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