Barbara K. Harken
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.
Barbara Kay Harken, who also goes by Barbara K Clawson, Barbara Kay Clawson, Barbara K Harken Ms., was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 2000. Barbara had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2010 - February 3, 2014
FINANCIAL TELESIS INC
January 30, 2009 - March 9, 2010
INVESTMENT CENTERS OF AMERICA, INC.
July 16, 2007 - January 30, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 1, 2007 - June 29, 2007
VOYA FINANCIAL ADVISORS, INC.
July 17, 2006 - June 5, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 24, 2002 - July 14, 2006
NEXT FINANCIAL GROUP, INC.
December 6, 2001 - September 24, 2002
LASALLE ST SECURITIES, L.L.C.
July 12, 2001 - November 30, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 27, 2000 - July 10, 2001
SIGNATOR INVESTORS, 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
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 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.
