Cherie D. Harrod
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.
Cherie Darlene Harrod, who also goes by Cherie Darlene Harrod Ms, Cherie Darlene Harrod-tracy Mrs, was a registered financial professional .
Cherie is a previously registered financial professional and started their career in finance in 2010. Cherie had worked at 6 firms and has passed the Series 66, SIE 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
June 9, 2017 - December 19, 2018
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
June 9, 2017 - December 19, 2018
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
February 12, 2016 - May 12, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2016 - May 12, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2015 - December 17, 2015
COUNTRY CAPITAL MANAGEMENT COMPANY
November 22, 2011 - March 19, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
November 15, 2011 - March 19, 2013
ALLSTATE FINANCIAL SERVICES, LLC
March 22, 2010 - March 7, 2011
EDWARD JONES
January 28, 2010 - March 7, 2011
EDWARD JONES
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
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
