Harry Harootunian
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.
Harry Harootunian was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1967. Harry had worked at 6 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 1986 - January 22, 2002
PROFESSIONAL PLANNING & TECHNOLOGIES, INC.
March 29, 1982 - July 16, 1986
WILKES & CO., INC.
July 28, 1978 - October 21, 1983
FINANCIAL CONSULTANTS, INC.
October 9, 1973 - February 23, 1978
CAPITAL SHARES INC.
September 11, 1972 - November 12, 1973
MUTUAL INVESTORS OF R.I.
February 2, 1967 - October 21, 1972
WOLFSON, ZALKIND & COMPANY, INC.
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 1
Date: 1/31/1967
Registered Representative ExaminationSeries 00
Date: 5/24/1974
General Securities Principal ExaminationCurrent Firm
PROFESSIONAL PLANNING & TECHNOLOGIES, INC.
CRD#: 17234 / SEC#: , 8-35019
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAROOTUNIAN, HARRY | PRESIDENT | 237375 |
| MCKAY, CAROL ANN | V. PRES. |
Disclosures
| Regulatory Event | 5 |
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.
