John D. Harper Ii
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.
John David Harper Ii was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2001. John had worked at 3 firms and has passed the SIE 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
April 13, 2015 - July 21, 2015
LARIMER CAPITAL CORPORATION
January 1, 2009 - October 30, 2012
HMC INVESTMENTS, LLC
August 28, 2001 - March 11, 2003
LEGG MASON WOOD WALKER, INCORPORATED
Primary Firm SEC Registration
LARIMER CAPITAL CORPORATION
CRD#: 18189 / SEC#: 801-29070, 8-36594
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
LARIMER CAPITAL CORPORATION
CRD#: 18189 / SEC#: 801-29070, 8-36594
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARMEL, ADAM MORMAN | PRESIDENT/CHIEF COMPLIANCE OFFICER | 1074710 |
| CARMEL, KATHLEEN HAWKINS | SECRETARY |
Regulatory assets under management
| Total Number of Accounts | 428 |
| AUM (Assets Under Management) | $ 156,240,746 |
Disclosures
| Regulatory Event | 1 |
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.
