Hilliard J. Hargis
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.
Hilliard Jackson Hargis, who also goes by Jack Hargis, was a registered financial advisor .
Hilliard is a previously registered financial advisor and started their career in finance in 1977. Hilliard had worked at 10 firms and has passed the Series 65, 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
January 15, 2003 - December 31, 2010
HARGIS CAPITAL MANAGEMENT
October 1, 1999 - February 7, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 10, 1998 - February 7, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 3, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
July 31, 1993 - February 24, 1998
CITIGROUP GLOBAL MARKETS INC.
September 3, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
February 13, 1984 - September 9, 1987
UBS FINANCIAL SERVICES INC.
June 30, 1981 - March 7, 1984
COWEN SECURITIES INC.
December 30, 1980 - June 30, 1981
FINANCIAL SQUARE PARTNERS
September 4, 1979 - January 19, 1981
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 26, 1977 - September 24, 1979
ROTAN MOSLE INC.
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
No current employment
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.
