Jay Dee Harmon
Professional Summary
Jay Dee Harmon is a registered financial advisor currently at SLD AMERICA EQUITIES, INC. located in Minot, North Dakota. Jay is registered as a RR (Registered Representative) and started their career in finance in 2003. Jay has worked at 1 firm and has passed the SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
ING AMERICA EQUITIES, INC. | VOYA AMERICA EQUITIES, INC. | SLD AMERICA EQUITIES, INC.
Contact Information
Main Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380Mailing Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380Phone Number
(763) 342-9429Established
Colorado since 09/27/1993Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY LIFE OF DENVER INSURANCE COMPANY | PARENT OF BROKER/DEALER | — |
| BURNS, BRANDI JO | PRESIDENT | 5862366 |
| DIXIT, ANURAKT | CHAIR/DIRECTOR | 8029030 |
| ESLINGER, CHAD MICHAEL | CHIEF COMPLIANCE OFFICER | 4182299 |
| JUSINO, LINH D | FINANCIAL AND OPERATIONS PRINCIPAL | 8313119 |
| SOCHA, KEVIN ROBERT | DIRECTOR | 7241694 |
| WIESE, AMY JO | DIRECTOR | 5928677 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2003About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Nov 2018About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Jay Dee Harmon's CRS (Customer Relationship Summary).
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