Harry J. Davis
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.
Harry J Davis was a registered financial advisor .
Harry is a previously registered financial advisor and started their career in finance in 2008. Harry had worked at 4 firms and has passed the Series 66 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
December 12, 2011 - July 21, 2014
GUARDIAN INVESTOR SERVICES LLC
June 21, 2010 - November 22, 2011
MORGAN STANLEY
June 21, 2010 - November 22, 2011
MORGAN STANLEY
April 3, 2009 - June 2, 2010
WELLS FARGO CLEARING SERVICES, LLC
April 3, 2009 - June 2, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 14, 2009 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
GUARDIAN INVESTOR SERVICES LLC
CRD#: 6635 / SEC#: 801-9654, 8-14108
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BESSEL, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER, ADVISER | 2963742 |
| CEFOLE, MICHAEL B | PRESIDENT & LLC MANAGER | 2720073 |
| FERIK, MICHAEL NICHOLAS | LLC MANAGER | 4994941 |
| POTTER, RICHARD THOMAS JR | SR. VICE PRESIDENT & COUNSEL | 1469205 |
| SENKER, LINDA ELLEN | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 1980001 |
| SHALLOW, KURT JOSEPH | V.P., RISK PRODUCTS DISTRIBUTION | 1650106 |
| SORELL, THOMAS GEORGE | CHIEF INVESTMENT OFFICER | 1020936 |
| SULLIVAN, DONALD PAUL JR | LLC MANAGER | 1022281 |
| WALTER, JOHN H. | SR. VP & CONTROLLER | 2358945 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
