Jeffrey P. Harriton
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.
Jeffrey Philip Harriton was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1967. Jeffrey had worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 52TO, Series 7TO, SIE, Series 1, Series 27, Series 24, F04 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
April 29, 1975 - July 9, 1976
THE CAPITAL GROUP INC
April 29, 1975 - June 30, 2023
TIMECAPITAL SECURITIES CORPORATION
June 26, 1967 - February 9, 1975
EDWARDS & HANLY
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 6/23/1967
Registered Representative ExaminationF04
Date: 1/16/1975
Financial Principal ExaminationSeries 00
Date: 1/16/1975
General Securities Principal ExaminationCurrent firm
No current employment
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.
