HA
Harjit K. Arora
IBN FINANCIAL SERVICES
Hutto, TX
Some features on this profile are disabled
CRD#: 3065406
HA
Professional summary
Harjit Kaur Arora is a registered financial advisor currently at IBN FINANCIAL SERVICES, INC. located in Hutto, Texas.
Harjit is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Harjit has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Harjit Kaur Arora's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harjit Kaur Arora's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 16, 2021 - Present
IBN FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 42360
Hutto, TX
Current
November 30, 2001 - Present
IBN FINANCIAL SERVICES, INC.
Office #1: 404 Old Liverpool Rd, Liverpool, NY 13088RIA
BD
CRD#: 42360
Liverpool, NY
Past
February 8, 2002 - February 20, 2002
PITTSFORD CAPITAL MARKETS, INC
BD
CRD#: 36406
PITTSFORD, NY
Past
June 25, 1998 - November 26, 2001
LEIGH BALDWIN & CO., LLC
BD
CRD#: 38751
CAZENOVIA, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IF
IBN FINANCIAL SERVICES, INC.
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
RIA
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Kentucky
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (2/28/2018 Terminated)New York
Registered Investment Advisory firm - SEC (7/19/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (2/5/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(11/30/2001)
IAR
New York(7/16/2021)
RR
Texas(1/5/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
IBN FINANCIAL SERVICES, INC.
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
RIA
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Kentucky
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (2/28/2018 Terminated)New York
Registered Investment Advisory firm - SEC (7/19/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (2/5/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
404 Old Liverpool Rd, Liverpool, NY 13088
Mailing Address
P.o. Box 2365, Liverpool, NY 13089
Phone number
(315) 652-4426
Established
New York since 12/15/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
79
SEC notice filing (18 States and Territories)
FINRA licenses (50 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 180,458,175 |
Disclosures
| Regulatory Event | 9 |
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.
