Sharon L. Harrod
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.
Sharon Leroy Harrod, who also goes by Ron Leroy Harrod, Ron Harrod, S Ron L Harrod, Sharon Ron Harrod, Sharon Ron Leroy Harrod, Sharon Ronleroy Harrod, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1957. Sharon had worked at 9 firms and has passed the Series 63, SIE, 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
December 2, 2011 - October 15, 2015
STEELPOINT SECURITIES, LLC
February 22, 2002 - November 30, 2011
WBB SECURITIES, LLC
March 19, 2001 - February 22, 2002
PACIFIC AMERICAN SECURITIES, LLC
January 2, 1996 - March 6, 2001
SECURITIES AMERICA, INC.
December 8, 1988 - January 2, 1996
ASSOCIATED SECURITIES CORP.
July 16, 1985 - December 16, 1988
CITIGROUP GLOBAL MARKETS INC.
January 31, 1980 - August 2, 1985
UBS FINANCIAL SERVICES INC.
November 14, 1973 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 11, 1972 - December 17, 1973
DUPONT WALSTON, INCORPORATED
March 12, 1957 - September 7, 1972
PAINE, WEBBER, JACKSON & CURTIS 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 1
Date: 3/12/1957
Registered Representative ExaminationCurrent Firm
STEELPOINT SECURITIES, LLC
CRD#: 155847 / SEC#: , 8-68744
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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