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Harri Seppo Rehnberg

CRD# 3052750·Registered 1998 - 2016
Previously Registered: Being a previously registered professional could mean that Harri 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.

Professional Summary

Harri Seppo Rehnberg was a registered financial advisor. Harri was a previously registered financial professional and started their career in finance 1998 - 2016. Harri had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

SWEDBANK SECURITIES US, LLC·CRD# 141190
BD
New York, NY
May 15, 2014 - February 29, 2016
CARNEGIE, INC.·CRD# 31184
BD
New York, NY
August 9, 2010 - October 10, 2012
SEB SECURITIES, INC.·CRD# 23710
BD
New York, NY
May 23, 2002 - June 29, 2010
HANDELSBANKEN MARKETS SECURITIES, INC.·CRD# 38485
BD
New York, NY
June 9, 2000 - May 21, 2002
AUERBACH GRAYSON & COMPANY LLC·CRD# 30761
BD
New York, NY
May 3, 1999 - April 6, 2000
AROS SECURITIES INC.·CRD# 39779
BD
New York, NY
May 14, 1998 - April 19, 1999

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Current Firm

SS
SWEDBANK SECURITIES US, LLC

SWEDBANK FIRST SECURITIES, LLC | SWEDBANK SECURITIES US, LLC

CRD#: 141190 / SEC#: 8-67369
BD
Terminated by SEC on 12/11/2020

Contact Information

Established

New York since 01/24/2006

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SWEDBANK ABMEMBER—
COLOMBO, DOUGLASCHIEF COMPLIANCE OFFICER1858351
HURD, JONATHAN SCOTTFINOP/PFO/POO4159864
MATTHEWS, JOHNPRESIDENT AND CEO2629122

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1998About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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