Francis J. Harmon
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.
Francis J. Harmon JR., who also goes by Francis J Harmon Jr., Francis James Harmon Jr., Frank James Harmon Jr., Francis James Harmon, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 2000. Francis had worked at 14 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7TO 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
March 23, 2021 - April 17, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 2021 - April 17, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2016 - September 30, 2016
QUASAR DISTRIBUTORS, LLC
April 1, 2013 - June 11, 2013
ALPS DISTRIBUTORS, INC.
March 28, 2012 - November 18, 2013
STADION MONEY MANAGEMENT, LLC
April 16, 2010 - March 8, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 4, 2009 - April 1, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 14, 2007 - August 4, 2009
MFS FUND DISTRIBUTORS, INC.
September 29, 2006 - November 7, 2007
BLACKROCK INVESTMENT MANAGEMENT, LLC
September 29, 2006 - November 7, 2007
BLACKROCK INVESTMENTS, LLC
July 14, 2004 - September 29, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
July 8, 2004 - September 29, 2006
FAM DISTRIBUTORS, INC.
November 21, 2002 - April 12, 2004
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
May 14, 2002 - April 12, 2004
DWS DISTRIBUTORS, INC.
November 8, 2001 - January 28, 2002
CALAMOS FINANCIAL SERVICES LLC
February 13, 2000 - July 9, 2001
NUVEEN SECURITIES, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 7TO
Date: 1/4/2021
General Securities Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
