TH
Tonya M. Harper
OSAIC INSTITUTIONS
Littleton, CO 80127
Some features on this profile are disabled
CRD#: 2510656
TH
Professional summary
Tonya Marie Harper, who also goes by Tonya M Harper, Tonya Marie Meekhof, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Littleton, Colorado.
Tonya is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Tonya has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tonya M Harper | Tonya Marie Meekhof
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) NAME OF THE OTHER BUSINESS: TM HARPER LTD INVESTMENT-RELATED:NO ADDRESS OF THE OTHER BUSINESS: 3480 S PLATTE RIVER DRIVE #9308, ENGLEWOOD, CO 80110 YOUR POSITION OR TITLE: MANAGING MEMBER NATURE OF THE OTHER BUSINESS: PRIVATE START DATE: 04/09/2013 APPROXIMATE NUMBER OF HOURS/MONTH: 2 hours per month APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS: 5 (DAY) BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS: 2 CORP FOR TAX PURPOSES COMPENSATION: YES
CRS (Client Relationship Summary) - RIA
Click below to view Tonya Marie Harper's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tonya Marie Harper's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 30, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 10058 W Progress Ave, Littleton, CO 80127Office #2: 994 W Dillon Road, Suite 300, Louisville, CO 80027Office #3: 499 South Airport Blvd., Aurora, CO 80017RIA
BD
CRD#: 35371
Littleton, CO
Current
November 30, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 10058 W Progress Ave, Littleton, CO 80127Office #2: 994 W Dillon Road, Suite 300, Louisville, CO 80027Office #3: 499 South Airport Blvd., Aurora, CO 80017RIA
BD
CRD#: 35371
Littleton, CO
Past
October 1, 2012 - November 29, 2023
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
AURORA, CO
Past
October 1, 2012 - November 29, 2023
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
AURORA, CO
Past
July 1, 2010 - September 28, 2012
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
DENVER, CO
Past
July 1, 2010 - September 28, 2012
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
DENVER, CO
Past
March 26, 2010 - July 2, 2010
ST JOHNS WEALTH MANAGEMENT
RIA
CRD#: 105564
DENVER, CO
Past
August 19, 2009 - July 2, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
DENVER, CO
Past
April 3, 2003 - July 27, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
EATON RAPIDS, MI
Past
October 1, 2001 - April 10, 2003
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
January 3, 1995 - September 28, 2001
CENTENNIAL FINANCIAL SERVICES, INC.
BD
CRD#: 15819
LANSING, MI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/30/2023)
RR
Arkansas(11/30/2023)
RR
California(11/30/2023)
RR
Colorado(11/30/2023)
IAR
Colorado(11/30/2023)
RR
Iowa(11/30/2023)
RR
Kansas(8/15/2024)
RR
Michigan(11/30/2023)
RR
New Mexico(11/30/2023)
RR
Oklahoma(7/3/2024)
RR
Texas(11/30/2023)
RR
Utah(11/30/2023)
RR
Washington(11/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
