Harris B. Towne
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.
Harris B Towne, who also goes by Haris Baker Towne III, Harris Baker Towne III, Harris Baker Towne, was a registered financial professional .
Harris is a previously registered financial professional and started their career in finance in 2002. Harris had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 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
Experience
March 9, 2015 - October 31, 2016
TD AMERITRADE, INC.
March 6, 2015 - October 31, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 5, 2015 - October 31, 2016
TD AMERITRADE, INC.
May 24, 2013 - December 9, 2013
PEOPLE'S SECURITIES, INC.
May 14, 2013 - December 9, 2013
PEOPLE'S SECURITIES, INC.
October 7, 2011 - July 3, 2012
KEY INVESTMENT SERVICES LLC
February 9, 2010 - June 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 2010 - June 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 2005 - December 14, 2005
CHASE INVESTMENT SERVICES CORP.
August 22, 2002 - December 9, 2004
PEOPLE'S SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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