Harbeth C. Cawthon
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.
Harbeth Catherine Cawthon, who also goes by Harbeth Caltha Cawthon, Harbie Cawthon, was a registered financial professional .
Harbeth is a previously registered financial professional and started their career in finance in 1971. Harbeth had worked at 8 firms and has passed the Series 63, SIE, Series 31, Series 3, Series 5, Series 7, Series 000, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2016 - February 22, 2017
CANTELLA & CO., INC.
October 21, 2016 - February 22, 2017
CANTELLA & CO., INC.
September 5, 2008 - October 24, 2016
LEVEL FOUR FINANCIAL, LLC
September 4, 2008 - October 24, 2016
LEVEL FOUR FINANCIAL, LLC
April 10, 2003 - September 2, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 24, 1997 - September 2, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 20, 1989 - March 26, 1997
A. G. EDWARDS & SONS, INC.
October 15, 1984 - December 12, 1989
THE ROBINSON-HUMPHREY COMPANY, LLC
April 21, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
February 7, 1972 - August 8, 1974
THE ROBINSON-HUMPHREY COMPANY, LLC
October 6, 1971 - April 3, 1972
E. F. HUTTON & COMPANY INC
January 1, 1971 - October 26, 1984
MORGAN STANLEY DW 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
Series 5
Date: 12/18/1982
Interest Rate Options ExaminationSeries 000
Date: 1/1/1971
General Securities Principal ExaminationSeries 1
Date: 2/13/1969
Registered Representative ExaminationSeries 00
Date: 3/20/1974
General Securities Principal ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
