Harlan H. Kappel
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.
Harlan Henry Kappel was a registered financial advisor .
Harlan is a previously registered financial advisor and started their career in finance in 1997. Harlan had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2006 - July 31, 2007
BARRON MOORE ADVISORS, INC.
October 12, 2006 - July 31, 2007
BARRON MOORE, INC.
February 25, 1997 - February 21, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
February 19, 1997 - February 21, 2006
IDS LIFE INSURANCE COMPANY
February 19, 1997 - February 21, 2006
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
No current employment
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.
