Harold J. Huffman
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.
Harold Joel Huffman, who also goes by Harold Joel Huffman Jr, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1998. Harold had worked at 3 firms and has passed the 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
October 7, 2011 - June 11, 2012
NORDBERG CAPITAL PARTNERS, INC.
March 2, 2006 - September 17, 2009
STONEGATE CAPITAL MARKETS, INC.
April 16, 1998 - December 18, 1998
CIBC WORLD MARKETS CORP.
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
NORDBERG CAPITAL PARTNERS, INC.
CRD#: 7945 / SEC#: , 8-23744
Contact information
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
