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CM

Charles F. Mccain

HARBOR FUNDS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4865638
CM

Professional summary

Charles Frederick Mccain, who also goes by Charlie F. Mccain, is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Chicago, Illinois.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2007. Charles has worked at 1 firm and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charlie F. Mccain

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 Charles Frederick Mccain'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®
None

Experience

Current

April 10, 2007 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

Office #1: 111 South Wacker Drive 34th Floor, Chicago, IL 60606
BD
CRD#: 113506
Chicago, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/23/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HF
HARBOR FUNDS DISTRIBUTORS, INC.
BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

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

Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Mailing Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Phone number
(312) 443-4420
Established
Delaware since 02/21/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HARBOR CAPITAL ADVISORS, INC.SHAREHOLDER
HALABY, JOHN STEVEPRESIDENT AND DIRECTOR2543904
KUNKEL, JACOB JEFFREYCHIEF FINANCIAL OFFICER AND TREASURER6108628
MCCAIN, CHARLES FREDERICKCHIEF EXECUTIVE OFFICER AND DIRECTOR4865638
NEE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER4968097

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

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506Chicago, IL 60606

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