Elaine C. Harlost
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.
Elaine Catherine Harlost, who also goes by Elaine Catherine Harlost, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 1997. Elaine had worked at 6 firms and has passed the Series 63, SIE 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
March 5, 2020 - May 13, 2020
USAA FINANCIAL ADVISORS, INC.
October 2, 2006 - December 3, 2019
CHARLES SCHWAB & CO., INC.
October 31, 2005 - September 21, 2006
OSAIC SERVICES, INC.
April 27, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
November 21, 2001 - May 12, 2005
CITIGROUP GLOBAL MARKETS INC.
April 23, 2001 - June 5, 2001
SUNAMERICA SECURITIES, INC.
May 15, 1997 - June 15, 2000
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
Red Flags
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