Harold R. Soutier
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.
Harold Roger Soutier SR, who also goes by Harold Roger Soutier, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1968. Harold had worked at 9 firms and has passed the Series 65, Series 63, SIE, PC, Series 000, Series 1, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2018 - January 31, 2019
HAYDEN ROYAL
November 21, 2017 - April 9, 2018
DGS CAPITAL MANAGEMENT
June 9, 2015 - April 27, 2016
VISIONQUEST WEALTH MANAGEMENT, LLC
December 31, 2001 - April 17, 2015
LPL FINANCIAL LLC
November 15, 1995 - April 17, 2015
LPL FINANCIAL LLC
July 31, 1993 - October 6, 1995
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
June 17, 1974 - April 15, 1978
WACHOVIA SECURITIES, INC.
September 20, 1968 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 22, 1968 - August 8, 1974
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
PC
Date: 7/13/1978
AMEX Put and Call ExamSeries 000
Date: 9/20/1968
General Securities Principal ExaminationSeries 1
Date: 8/9/1965
Registered Representative ExaminationSeries 12
Date: 9/18/1982
NYSE Branch Manager ExaminationCurrent Firm
HAYDEN ROYAL
CRD#: 170037 / SEC#: 801-101516
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,248 |
| AUM (Assets Under Management) | $ 596,602,721 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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