Leo M. Harker
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.
Leo Max Harker was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 2007. Leo had worked at 4 firms and has passed the Series 65, Series 66, Series 63 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
November 19, 2015 - December 31, 2018
VESTBOT ADVISORS LLC
May 11, 2011 - January 13, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 11, 2011 - January 13, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 11, 2009 - August 19, 2010
CHARLES SCHWAB & CO., INC.
October 5, 2007 - August 19, 2010
CHARLES SCHWAB & CO., INC.
April 25, 2007 - September 13, 2007
E*TRADE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VESTBOT ADVISORS LLC
CRD#: 277087 / SEC#:
Contact information
Red Flags
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