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AL

Adam D. Liebentritt

HARBOR FUNDS DISTRIBUTORS
Paoli, PA
Some features on this profile are disabled
CRD#: 4502985
AL

Professional summary

Adam David Liebentritt, who also goes by Adam David Liebentritt, Adam Liebentritt, is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Paoli, Pennsylvania.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2002. Adam has worked at 4 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adam David Liebentritt | Adam Liebentritt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam David Liebentritt's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 16, 2023 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

BD
CRD#: 113506
Paoli, PA
Past

October 30, 2018 - November 6, 2023

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

January 27, 2004 - September 27, 2018

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

March 18, 2002 - September 27, 2018

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(11/16/2023)
RR
Alaska
(11/16/2023)
RR
Arizona
(11/16/2023)
RR
Arkansas
(11/16/2023)
RR
California
(11/16/2023)
RR
Colorado
(11/16/2023)
RR
Connecticut
(11/16/2023)
RR
Delaware
(11/16/2023)
RR
District of Columbia
(11/16/2023)
RR
Florida
(11/16/2023)
RR
Georgia
(11/16/2023)
RR
Hawaii
(11/16/2023)
RR
Idaho
(11/16/2023)
RR
Illinois
(11/16/2023)
RR
Indiana
(11/16/2023)
RR
Iowa
(11/16/2023)
RR
Kansas
(11/16/2023)
RR
Kentucky
(11/16/2023)
RR
Louisiana
(11/16/2023)
RR
Maine
(11/16/2023)
RR
Maryland
(11/16/2023)
RR
Massachusetts
(11/16/2023)
RR
Michigan
(11/16/2023)
RR
Minnesota
(11/16/2023)
RR
Mississippi
(11/16/2023)
RR
Missouri
(11/16/2023)
RR
Montana
(11/16/2023)
RR
Nebraska
(11/16/2023)
RR
Nevada
(11/16/2023)
RR
New Hampshire
(11/16/2023)
RR
New Jersey
(11/16/2023)
RR
New Mexico
(11/16/2023)
RR
New York
(11/16/2023)
RR
North Carolina
(11/16/2023)
RR
North Dakota
(11/16/2023)
RR
Ohio
(11/16/2023)
RR
Oklahoma
(11/16/2023)
RR
Oregon
(11/16/2023)
RR
Pennsylvania
(11/16/2023)
RR
Puerto Rico
(11/16/2023)
RR
Rhode Island
(11/16/2023)
RR
South Carolina
(11/16/2023)
RR
South Dakota
(11/16/2023)
RR
Tennessee
(11/16/2023)
RR
Texas
(11/16/2023)
RR
Utah
(11/16/2023)
RR
Vermont
(11/16/2023)
RR
Virgin Islands
(11/16/2023)
RR
Virginia
(11/16/2023)
RR
Washington
(11/16/2023)
RR
West Virginia
(11/16/2023)
RR
Wisconsin
(11/16/2023)
RR
Wyoming
(11/16/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/20/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 11/16/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/15/2002
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HF
HARBOR FUNDS DISTRIBUTORS, INC.
BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Mailing Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Phone number
(312) 443-4420
Established
Delaware since 02/21/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HARBOR CAPITAL ADVISORS, INC.SHAREHOLDER
HALABY, JOHN STEVEPRESIDENT AND DIRECTOR2543904
KUNKEL, JACOB JEFFREYCHIEF FINANCIAL OFFICER AND TREASURER6108628
MCCAIN, CHARLES FREDERICKCHIEF EXECUTIVE OFFICER AND DIRECTOR4865638
NEE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER4968097

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.

Company Information

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506Paoli, PA

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