Harry S. Truman
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 S Truman was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1995. Harry had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53, Series 4 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
April 11, 2011 - January 14, 2016
NEXT FINANCIAL GROUP, INC.
April 11, 2011 - January 14, 2016
NEXT FINANCIAL GROUP, INC.
March 9, 2009 - April 18, 2011
SWBC INVESTMENT COMPANY
March 9, 2009 - April 18, 2011
SWBC INVESTMENT SERVICES, LLC
June 23, 2004 - April 3, 2009
INVESTMENT PROFESSIONALS, INC.
June 23, 2004 - April 3, 2009
INVESTMENT PROFESSIONALS, INC.
March 13, 2003 - June 28, 2004
OSAIC FA, INC.
March 13, 2003 - June 28, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 13, 2003 - June 28, 2004
OSAIC FA, INC.
January 15, 1999 - April 4, 2003
RAYMOND JAMES & ASSOCIATES, INC.
January 15, 1999 - April 4, 2003
RAYMOND JAMES & ASSOCIATES, INC.
February 7, 1996 - January 20, 1999
COMPULIFE INVESTOR SERVICES, INC.
February 24, 1995 - February 22, 1996
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
