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HH

Harold T. Harlow

BARINGS SECURITIES LLC
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 4770509
HH

Professional summary

Harold Trevor Harlow, CIMA®, who also goes by H. Trevor Harlow, Trevor Harlow, H Tevor Harlow, is a registered financial professional currently at BARINGS SECURITIES LLC located in Charlotte, North Carolina.

Harold is registered as a RR (Registered Representative) and started their career in finance in 2004. Harold has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 32, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

H. Trevor Harlow | Trevor Harlow | H Tevor Harlow

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.
1) KBI Global Investors; Investment Related; Boston, MA; Sales; Senior Vice President; Start 3/2021; 180hrs per month with 0 during trading hours 2) Hamilton Wenham Youth Basketball; Non-Investment Related; South Hamilton, MA; Supporting Youth Basketball; Board Member; 10/21 Start Date; 4 hours per month; 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Harold Trevor Harlow'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

August 12, 2024 - Present

BARINGS SECURITIES LLC

Office #1: 300 S. Tryon Street Suite 2500, Charlotte, NC 28202
BD
CRD#: 36929
CHARLOTTE, NC
Past

September 16, 2021 - July 1, 2024

KBI GLOBAL INVESTORS (NORTH AMERICA) LTD

RIA
CRD#: 113606
Boston, MA
Past

May 17, 2021 - June 28, 2024

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Boston, MA
Past

June 24, 2008 - December 20, 2019

EATON VANCE MANAGEMENT

RIA
CRD#: 104859
BOSTON, MA
Past

July 30, 2007 - December 20, 2019

EATON VANCE DISTRIBUTORS, INC.

BD
CRD#: 37731
BOSTON, MA
Past

August 4, 2004 - June 29, 2007

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

April 7, 2004 - July 20, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
(8/12/2024)
RR
Alaska
(8/12/2024)
RR
Arizona
(8/12/2024)
RR
Arkansas
(8/12/2024)
RR
California
(8/12/2024)
RR
Colorado
(8/12/2024)
RR
Connecticut
(8/12/2024)
RR
Delaware
(8/12/2024)
RR
District of Columbia
(8/12/2024)
RR
Florida
(8/12/2024)
RR
Georgia
(8/12/2024)
RR
Hawaii
(8/12/2024)
RR
Idaho
(8/12/2024)
RR
Illinois
(8/12/2024)
RR
Indiana
(8/12/2024)
RR
Iowa
(8/12/2024)
RR
Kansas
(8/12/2024)
RR
Kentucky
(8/12/2024)
RR
Louisiana
(8/12/2024)
RR
Maine
(8/12/2024)
RR
Maryland
(8/12/2024)
RR
Massachusetts
(8/12/2024)
RR
Michigan
(8/12/2024)
RR
Minnesota
(8/12/2024)
RR
Mississippi
(8/12/2024)
RR
Missouri
(8/12/2024)
RR
Montana
(8/12/2024)
RR
Nebraska
(8/12/2024)
RR
Nevada
(8/12/2024)
RR
New Hampshire
(8/12/2024)
RR
New Jersey
(8/12/2024)
RR
New Mexico
(8/12/2024)
RR
New York
(8/12/2024)
RR
North Carolina
(8/12/2024)
RR
North Dakota
(8/12/2024)
RR
Ohio
(8/13/2024)
RR
Oklahoma
(8/12/2024)
RR
Oregon
(8/12/2024)
RR
Pennsylvania
(8/12/2024)
RR
Rhode Island
(8/12/2024)
RR
South Carolina
(8/12/2024)
RR
South Dakota
(8/12/2024)
RR
Tennessee
(8/12/2024)
RR
Texas
(8/12/2024)
RR
Utah
(8/12/2024)
RR
Vermont
(8/12/2024)
RR
Virginia
(8/12/2024)
RR
Washington
(8/12/2024)
RR
West Virginia
(8/12/2024)
RR
Wisconsin
(8/12/2024)
RR
Wyoming
(8/12/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/1/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/7/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 32
Date: 11/30/2012
Limited Futures Exam-Regulation
General Industry/Product Exam
RR
Series 3
Date: 6/25/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/6/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BARINGS SECURITIES LLC
BABSON CAPITAL SECURITIES INC | BARINGS SECURITIES LLC | BABSON SECURITIES CORPORATION | BABSON CAPITAL SECURITIES LLC

CRD#: 36929 / SEC#: , 8-47589

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

Main Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Mailing Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Phone number
(704) 805-7200
Established
Delaware since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BARINGS LLCDIRECT OWNER106006
DINERMAN, JILL ELYSECLERK AND SECRETARY
FRANCIS, SHELDON MAURICEDIRECTOR
LLOYD, ERIC JAMESPRESIDENT2314965
TAWA, DEREK MICHAELCHIEF COMPLIANCE OFFICER3054098
THOMAS, CHRISTOPHER COLINTREASURER7050594

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

BARINGS SECURITIES LLC

CRD#: 36929Charlotte, NC 28202

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