Erin Harmon
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.
Erin Harmon, who also goes by Erin Chelsea Harmon Ms., Erin Chelsea Harmon, was a registered financial professional .
Erin is a previously registered financial professional and started their career in finance in 2014. Erin had worked at 2 firms and has passed the Series 65, Series 63, 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
November 24, 2014 - September 22, 2017
PUTNAM INVESTMENT MANAGEMENT, LLC
January 21, 2014 - September 22, 2017
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
Primary Firm SEC Registration
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
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
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 559 |
| AUM (Assets Under Management) | $ 85,208,444,537 |
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.
