Konni M. Harrison
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.
Konni Michelle Harrison, who also goes by Konni Michelle Mcdonald, was a registered financial professional .
Konni is a previously registered financial professional and started their career in finance in 1999. Konni had worked at 6 firms and has passed the Series 65, Series 63, Series 31 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
February 21, 2013 - March 22, 2013
UHLMANN PRICE SECURITIES, LLC
October 15, 2012 - December 17, 2012
PARK AVENUE SECURITIES LLC
April 28, 2011 - September 20, 2012
FINANCIAL WEST GROUP
January 16, 2006 - January 14, 2011
A.G.P. / ALLIANCE GLOBAL PARTNERS
October 8, 2004 - January 4, 2010
OAKBROOK INVESTMENT BROKERS, INC.
May 20, 2002 - November 6, 2002
MORGAN STANLEY DW INC.
September 15, 1999 - May 10, 2002
OAKBROOK INVESTMENT BROKERS, 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
Current Firm
UHLMANN PRICE SECURITIES, LLC
CRD#: 42854 / SEC#: , 8-50041
Contact information
FINRA licenses (51 States and Territories)
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.
