Charles J. Harm

ALLIANZ LIFE FINANCIAL SERVICES

Minneapolis, MN 55416

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CRD#: 6520635

Professional summary

Charles John Harm II, who also goes by Charles John Harm II, Charles John Harm, is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2015. Charles has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles John Harm Ii | Charles John Harm

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 Charles John Harm II'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

June 14, 2021 - Present

ALLIANZ LIFE FINANCIAL SERVICES, LLC

Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416

CRD#: 612

Minneapolis, MN

Past

January 28, 2021 - June 8, 2021

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

Scottsdale, AZ

Past

March 30, 2017 - January 7, 2021

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

October 19, 2015 - February 13, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

State Registrations and Notice Filings

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

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

Arkansas
(11/30/2022)

Oklahoma
(11/30/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/6/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/1/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLIANZ LIFE FINANCIAL SERVICES, LLC

ALLIANZ LIFE FINANCIAL SERVICES, LLC | USALLIANZ INVESTOR SERVICES, LLC | NALAC FINANCIAL PLANS, LLC | NALAC FINANCIAL PLANS, INC.

CRD#: 612 / SEC#: , 8-13630

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

5701 Golden Hills Drive, Minneapolis, MN 55416-1297

Mailing Address

P O Box 1117, Minneapolis, MN 55440-1117

Phone number

(763) 765-6500

Established

Minnesota since 11/20/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA	OWNER
DIAN, MATTHEW CHRISTOPHER	CHIEF COMPLIANCE OFFICER	2246088
GAUMOND, WILLIAM EDWARD	DIRECTOR	5294073
HELMEN, JOHN CURTIS	ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS	4988276
LORD-KRAHN, KRISTINE MARIE	CHIEF LEGAL OFFICER	4241291
THOMES, ERIC JON	CHIEF EXECUTIVE OFFICER	4645308
WALTHER, COREY JAY	PRESIDENT	2398952
WYSOCKI, REBECCA	PRINCIPAL FINANCIAL OFFICER	6558204
WYSOCKI, REBECCA	CHIEF FINANCIAL OFFICER	6558204
WYSOCKI, REBECCA	PRINCIPAL OPERATIONS OFFICER	6558204

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Charles J. Harm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles John Harm II's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/6/2016

Series 63

Date: 12/1/2015

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2015

FINRA

Current Firm

ALLIANZ LIFE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLIANZ LIFE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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