Robert J. Harrod
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.
Robert Jason Harrod, who also goes by Jason Harrod, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2001. Robert had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 55 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
February 4, 2014 - November 12, 2020
PENSERRA SECURITIES, LLC
August 16, 2010 - January 16, 2014
FM PARTNERS HOLDINGS LLC
March 4, 2008 - July 20, 2010
THOMAS WEISEL PARTNERS LLC
April 15, 2003 - November 12, 2007
J.P. MORGAN SECURITIES LLC
April 16, 2001 - March 6, 2003
BANC OF AMERICA SECURITIES LLC
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 55
Date: 5/16/2001
Limited Representative-Equity Trader ExamCurrent Firm
PENSERRA SECURITIES, LLC
CRD#: 145994 / SEC#: , 8-67773
Contact information
FINRA licenses (17 States and Territories)
Documents
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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