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JE

Juvenal E. Echeverria

HARBOR FUNDS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5987204
JE

Professional summary

Juvenal Enrique Echeverria, who also goes by Juvenal E Echeverria, Rick Echeverria, is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Chicago, Illinois.

Juvenal is registered as a RR (Registered Representative) and started their career in finance in 2011. Juvenal has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Juvenal E Echeverria | Rick Echeverria

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 Juvenal Enrique Echeverria'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

May 31, 2018 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

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

October 1, 2012 - May 23, 2018

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

November 5, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/31/2018)
RR
Alaska
(5/31/2018)
RR
Arizona
(5/31/2018)
RR
Arkansas
(5/31/2018)
RR
California
(5/31/2018)
RR
Colorado
(5/31/2018)
RR
Connecticut
(5/31/2018)
RR
Delaware
(5/31/2018)
RR
District of Columbia
(5/31/2018)
RR
Florida
(5/31/2018)
RR
Georgia
(5/31/2018)
RR
Hawaii
(5/31/2018)
RR
Idaho
(5/31/2018)
RR
Illinois
(5/31/2018)
RR
Indiana
(5/31/2018)
RR
Iowa
(5/31/2018)
RR
Kansas
(5/31/2018)
RR
Kentucky
(5/31/2018)
RR
Louisiana
(5/31/2018)
RR
Maine
(5/31/2018)
RR
Maryland
(5/31/2018)
RR
Massachusetts
(5/31/2018)
RR
Michigan
(5/31/2018)
RR
Minnesota
(5/31/2018)
RR
Mississippi
(5/31/2018)
RR
Missouri
(5/31/2018)
RR
Montana
(5/31/2018)
RR
Nebraska
(5/31/2018)
RR
Nevada
(5/31/2018)
RR
New Hampshire
(5/31/2018)
RR
New Jersey
(5/31/2018)
RR
New Mexico
(5/31/2018)
RR
New York
(5/31/2018)
RR
North Carolina
(5/31/2018)
RR
North Dakota
(5/31/2018)
RR
Ohio
(5/31/2018)
RR
Oklahoma
(5/31/2018)
RR
Oregon
(5/31/2018)
RR
Pennsylvania
(5/31/2018)
RR
Puerto Rico
(5/31/2018)
RR
Rhode Island
(5/31/2018)
RR
South Carolina
(5/31/2018)
RR
South Dakota
(5/31/2018)
RR
Tennessee
(6/4/2018)
RR
Texas
(5/31/2018)
RR
Utah
(5/31/2018)
RR
Vermont
(5/31/2018)
RR
Virgin Islands
(5/31/2018)
RR
Virginia
(5/31/2018)
RR
Washington
(5/31/2018)
RR
West Virginia
(5/31/2018)
RR
Wisconsin
(5/31/2018)
RR
Wyoming
(5/31/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/2011
Uniform Securities Agent State Law Examination
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: 8/5/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/4/2011
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/22/2018
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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