John M. Harlan
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.
John Marshall Harlan, who also goes by John M Harlan, John Marshall Harlan, Harlan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 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
May 4, 2020 - December 15, 2020
MARINER INVESTMENT GROUP
March 15, 2019 - May 7, 2020
PRUCO SECURITIES, LLC.
March 6, 2019 - May 7, 2020
PRUCO SECURITIES, LLC.
December 4, 2017 - April 20, 2018
WHITETIP CAPITAL LLC
January 9, 2016 - March 1, 2019
MARINER INVESTMENT GROUP
August 26, 2011 - January 14, 2016
LPL FINANCIAL LLC
August 26, 2011 - January 14, 2016
LPL FINANCIAL LLC
November 7, 2008 - September 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 7, 2008 - September 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 2007 - November 24, 2008
FROST BROKERAGE SERVICES, INC.
February 3, 2006 - April 23, 2007
VOYA FINANCIAL ADVISORS, INC.
January 12, 2006 - April 23, 2007
VOYA FINANCIAL ADVISORS, INC.
April 1, 2005 - January 18, 2006
PROSPERA FINANCIAL SERVICES, INC.
October 20, 2004 - April 7, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - April 7, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 2, 2002 - October 20, 2004
QUICK & REILLY, INC.
July 1, 2002 - October 20, 2004
QUICK & REILLY, INC.
July 13, 2001 - June 20, 2002
CHASE INVESTMENT SERVICES CORP.
May 30, 2001 - June 20, 2002
CHASE INVESTMENT SERVICES CORP.
October 22, 1999 - May 2, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 1997 - December 2, 1999
CHARLES SCHWAB & CO., INC.
March 7, 1996 - February 25, 1997
IDS LIFE INSURANCE COMPANY
March 7, 1996 - February 25, 1997
AMERIPRISE FINANCIAL SERVICES, 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
MARINER INVESTMENT GROUP
CRD#: 35993 / SEC#: , 8-47067
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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