James S. 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.
James Stephen Harper, CFP®, who also goes by J Stephen Harper, J Steve Harper, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 15 firms and has passed the Series 63 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
Start date: 2007
Experience
April 21, 2021 - December 31, 2022
HARPER WEALTH
January 28, 2019 - February 24, 2021
TRAJAN WEALTH, L.L.C.
March 2, 2018 - January 22, 2019
AE WEALTH MANAGEMENT, LLC
December 9, 2015 - March 26, 2018
ROVIN CAPITAL
February 4, 2014 - July 13, 2015
PRECISION INVESTMENT MANAGEMENT
August 28, 2012 - January 30, 2014
ALPHASTAR CAPITAL MANAGEMENT
June 21, 2010 - August 26, 2011
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
June 24, 2008 - August 17, 2012
HARPER WEALTH ADVISORY
January 26, 2007 - April 7, 2008
FFP SECURITIES, INC.
July 8, 2005 - January 30, 2007
LPL FINANCIAL LLC
November 15, 2004 - June 24, 2005
NYLIFE SECURITIES LLC
August 4, 2004 - October 22, 2004
EQUITABLE ADVISORS, LLC
September 23, 2003 - August 16, 2004
MONY SECURITIES CORPORATION
February 21, 2003 - September 18, 2003
CITISTREET EQUITIES LLC
February 26, 2001 - May 30, 2002
FIDELITY DISTRIBUTORS COMPANY 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
Current Firm
HARPER WEALTH
CRD#: 313239 / 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.
