Faith A. Harty
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.
Faith Anne Harty, who also goes by Faith Ann Harty, Faith Harty, was a registered financial professional .
Faith is a previously registered financial professional and started their career in finance in 2006. Faith had worked at 4 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2017 - January 14, 2019
FDX CAPITAL LLC
October 2, 2015 - March 28, 2016
TCG SECURITIES, L.L.C.
October 11, 2011 - August 31, 2015
PLUS SECURITIES LLC
June 26, 2006 - December 24, 2008
BOSTON PARTNERS SECURITIES, L.L.C.
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
FDX CAPITAL LLC
CRD#: 119302 / SEC#: , 8-65170
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
