Linda G. Harness
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.
Linda Gail Harness, who also goes by Linda Gail Maier, Linda Gail Patrick, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1975. Linda had worked at 4 firms and has passed the Series 63, SIE, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 1992 - October 9, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 18, 1985 - October 9, 1990
SECURICORP, INC.
December 28, 1979 - October 23, 1985
J. MILTON NEWTON, INCORPORATED
June 20, 1975 - February 18, 1980
NIES/BRAUER SECURITIES, INC.
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
F04
Date: 10/19/1977
Financial Principal ExaminationSeries 40
Date: 10/19/1977
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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