Joshua M. Harmon
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.
Joshua Matthew Harmon was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1997. Joshua had worked at 2 firms and has passed the Series 63, SIE, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2007 - January 3, 2017
RIDGEWOOD SECURITIES CORPORATION
December 8, 1997 - March 22, 2001
GROVE POINT INVESTMENTS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RIDGEWOOD SECURITIES CORPORATION
CRD#: 15453 / SEC#: , 8-34781
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWANSON, ROBERT ERNEST | CHAIRMAN, BOARD OF DIRECTORS | 1332429 |
| STRASBERG, JEFFREY HOWARD | PRESIDENT, CCO AND FINANCIAL AND OPERATIONS PRINCIPAL |
Disclosures
| Regulatory Event | 7 |
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.
