Garrett L. Harbron
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.
Garrett Lee Harbron, CFP®, who also goes by Garrett Lee Harbron Jr, Garrett Lee Harbron, Garrett Harbron, Gary Lee Harbron Jr., was a registered financial professional .
Garrett is a previously registered financial professional and started their career in finance in 2003. Garrett had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2011 - September 20, 2017
VANGUARD MARKETING CORPORATION
July 16, 2010 - July 20, 2011
AVANTAX INVESTMENT SERVICES, INC.
April 22, 2010 - July 20, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 20, 2010 - July 20, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 20, 2010 - July 20, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 20, 2010 - July 20, 2011
FIRST CLEARING, LLC
June 12, 2006 - December 16, 2008
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 24, 2005 - March 27, 2006
NEW ENGLAND SECURITIES
April 28, 2005 - March 27, 2006
NEW ENGLAND SECURITIES
January 29, 2003 - June 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2003 - June 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
