Paul J. Harper
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.
Paul James Harper was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2000. Paul had worked at 6 firms and has passed the Series 65, Series 63, Series 7 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
January 19, 2010 - February 2, 2018
HARPER FINANCIAL SERVICES
June 3, 2004 - July 3, 2006
HIGH STREET SECURITIES, INC.
July 26, 2002 - May 11, 2004
SPC
September 6, 2001 - May 11, 2004
SIGMA FINANCIAL CORPORATION
December 21, 2000 - September 6, 2001
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
April 19, 2000 - December 31, 2000
VOYA FINANCIAL ADVISORS, 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
HARPER FINANCIAL SERVICES
CRD#: 141237 / SEC#:
Contact information
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.
