Brian J. Harte

J.H. DARBIE & CO.

ALEXANDRIA, VA 22314

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CRD#: 4780629

Professional summary

Brian Joseph Harte is a registered financial professional currently at J.H. DARBIE & CO., INC. located in Alexandria, Virginia.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2004. Brian has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Brian Joseph Harte's CRS (Customer Relationship Summary).

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

May 1, 2024 - Present

J.H. DARBIE & CO., INC.

Office #1: 2800 Eisenhower Ave Ste 220, Alexandria, VA 22314Office #2: 48 Wall St., Suite 1206, New York, NY 10005

RIA

CRD#: 43520

ALEXANDRIA, VA

Past

April 29, 2004 - April 30, 2024

E1 ASSET MANAGEMENT, INC.

CRD#: 46872

Alexandria, VA

State Registrations and Notice Filings

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

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

California
(5/23/2024)

Connecticut
(5/1/2024)

District of Columbia
(5/1/2024)

Florida
(5/1/2024)

Georgia
(5/6/2024)

Maine
(5/2/2024)

Maryland
(5/9/2024)

Nebraska
(5/1/2024)

New Jersey
(5/22/2024)

New York
(5/1/2024)

North Carolina
(5/1/2024)

Pennsylvania
(5/1/2024)

South Carolina
(5/1/2024)

Texas
(5/1/2024)

Virgin Islands
(5/1/2024)

Virginia
(5/1/2024)

Exams

State Security Law Exam

Series 63

Date: 5/10/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/28/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/10/2013

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/2/2007

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/15/2005

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

J.H. DARBIE & CO., INC.

J.H. DARBIE & CO., INC. | J.H. DARBIE ADVISORY

CRD#: 43520 / SEC#: , 8-50335

Arizona

Registered Investment Advisory firm - SEC (7/3/2024 Approved)

New Jersey

Registered Investment Advisory firm - SEC (1/7/2008 Approved)

New York

Registered Investment Advisory firm - SEC (1/7/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

48 Wall St., Suite 1206. Suite 1206, New York, NY 10005

Mailing Address

48 Wall St., Suite 1206. C/o Robert Rabinowitz, New York, NY 10005

Phone number

(212) 269-7271

Established

New York since 06/03/1997

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
RABINOWITZ, ROBERT Y	PRES, GSP	2821450
ANDERSON, ERIK JASON	CHIEF COMPLIANCE OFFICER	2686661
MATSIS, MICHAEL A	AMLCO	1455158
NAVEED, HASNAIN	FINOP, POO, PFO	7004810

Disclosures

Regulatory Event	10
Civil Event	1
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Brian J. Harte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Joseph Harte's CRS (Customer Relationship Summary).

Certified licenses

Experience

E1 ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/10/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/28/2004

Series 27

Date: 10/10/2013

Series 4

Date: 3/2/2007

Series 24

Date: 11/15/2005

FINRA

Nasdaq Stock Market

Current Firm

J.H. DARBIE & CO., INC.

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J.H. DARBIE & CO., INC.

TRUST BUT VERIFY

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