Thomas M. Harr
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.
Thomas Michael Harr, who also goes by Tom Harr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2006 - April 9, 2012
CMS INVESTMENT RESOURCES, LLC
June 20, 2003 - August 24, 2005
USALLIANZ SECURITIES, INC.
December 21, 1994 - February 18, 2003
HORNOR, TOWNSEND & KENT, LLC
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
Current Firm
CMS INVESTMENT RESOURCES, LLC
CRD#: 10102 / SEC#: , 8-26417
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CMS HOLDCO, LLC | 100% OWNER | |
| ADAMS, JOHN TUCKER | CHIEF FINANCIAL OFFICER, FINOP, TREASURER AND VICE PRESIDENT | 6339922 |
| CLAPPER, DAVID ANDREW | VICE PRESIDENT, ASSISTANT SECRETARY AND FINOP | 5644079 |
| MITCHELL, RICHARD ALAN | SECRETARY, VICE PRESIDENT AND GENERAL COUNSEL | 2079522 |
| SILBERBERG, PAUL | PRESIDENT, CCO, REGISTERED SECURITIES PRINCIPAL | 1014371 |
Disclosures
| Regulatory Event | 1 |
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.
