Dylan P. Harkness

CIBC WORLD MARKETS

Milwaukee, WI 53202

Some features on this profile are disabled

CRD#: 6661451

Professional summary

Dylan Peter Harkness, who also goes by Dylan Harkness, is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in Milwaukee, Wisconsin.

Dylan is registered as a RR (Registered Representative) and started their career in finance in 2016. Dylan has worked at 4 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dylan Harkness

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 Dylan Peter Harkness'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

April 26, 2021 - Present

CIBC WORLD MARKETS CORP.

Office #1: 411 East Wisconsin Avenue Suite 1850, Milwaukee, WI 53202

CRD#: 630

Milwaukee, WI

Past

June 15, 2017 - April 1, 2021

JEFFERIES LLC

CRD#: 2347

CHICAGO, IL

Past

March 28, 2017 - May 19, 2017

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

Denver, CO

Past

October 6, 2016 - May 19, 2017

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DENVER, CO

Past

July 26, 2016 - May 19, 2017

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DENVER, CO

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

Wisconsin
(4/26/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/6/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 6/12/2021

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/2016

General Securities Representative Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CIBC WORLD MARKETS CORP.

CIBC OPPENHEIMER | OPPENHEIMER & CO., INC. | CIBC WORLD MARKETS CORP. | CIBC WORLD MARKETS | CIBC OPPENHEIMER CORP.

CRD#: 630 / SEC#: , 8-18333

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

300 Madison Avenue Sixth Floor, New York, NY 10017

Mailing Address

300 Madison Avenue Sixth Floor, New York, NY 10017

Phone number

(212) 856-4000

Established

Delaware since 07/31/1969

Firm type

Corporation

Fiscal year end

October

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CIBC INC.	100% SHAREHOLDER
CONSOLA, PATRICK D	CHIEF COMPLIANCE OFFICER	1133831
DUBCZAK, ROMAN STEPAN	DIRECTOR	5511542
GRIFFITH, MARVIN SCOTT	PRINCIPAL FINANCIAL OFFICER	1670889
PERRY, ACHILLES M	GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR	4183476
PRICE, ERIC S	CHIEF EXECUTIVE OFFICER & PRESIDENT	1985843
TRABOULSI, ALFRED	MANAGING DIRECTOR, HEAD US INVESTMENT BANKING	6594715
ZELLERMAYER, MICHAEL	PRINCIPAL OPERATIONS OFFICER	1662785

Disclosures

Regulatory Event	76
Arbitration	86

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.

Similar Advisors

Shelly Wohler

INDEPENDENT FINANCIAL PARTNERS

IAR

Brookfield, WI

Casey Berrall

BKM WEALTH MANAGEMENT

IAR

Brookfield, WI

Carson Biber

DRAKE & ASSOCIATES, LLC

IAR

WAUKESHA, WI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dylan P. Harkness

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dylan Peter Harkness's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEFFERIES LLC

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/6/2016

Series 79TO

Date: 6/12/2021

SIE

Date: 10/1/2018

Series 7

Date: 7/26/2016

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

NYSE American LLC

NYSE Arca, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CIBC WORLD MARKETS CORP.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CIBC WORLD MARKETS CORP.

TRUST BUT VERIFY

Similar Advisors