LC
Lindsay W. Conner
HARGER AND COMPANY
Baton Rouge, LA 70809
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CRD#: 6807324
LC
Professional summary
Lindsay W Conner is a registered financial professional currently at HARGER AND COMPANY, INC. located in Baton Rouge, Louisiana.
Lindsay is registered as a RR (Registered Representative) and started their career in finance in 2023. Lindsay has worked at 1 firm and has passed the Series 99TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Lindsay W Conner'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®
NoneExperience
Current
January 21, 2023 - Present
HARGER AND COMPANY, INC.
Office #1: 8048 One Calais Ave Suite D, Baton Rouge, LA 70809RIA
BD
CRD#: 10385
Baton Rouge, LA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HA
HARGER AND COMPANY, INC.
HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.
CRD#: 10385 / SEC#: 801-129739, 8-27287
RIA
Registered Investment Advisory firm - SEC (3/22/2024 Approved)Louisiana
Registered Investment Advisory firm - SEC (4/1/1996 Approved)Texas
Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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
Louisiana(1/21/2023)
Exams
General Industry/Product Exam
RR
Series 99TO
Date: 10/15/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/21/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HARGER AND COMPANY, INC.
HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.
CRD#: 10385 / SEC#: 801-129739, 8-27287
RIA
Registered Investment Advisory firm - SEC (3/22/2024 Approved)Louisiana
Registered Investment Advisory firm - SEC (4/1/1996 Approved)Texas
Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
8048 One Calais Ave Suite D Suite D, Baton Rouge, LA 70809
Mailing Address
8048 One Calais Ave Suite D, Baton Rouge, LA 70809
Phone number
(225) 767-7228
Established
Louisiana since 01/01/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3
SEC notice filing (2 States and Territories)
FINRA licenses (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 427 |
| AUM (Assets Under Management) | $ 123,253,006 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HARGER AND COMPANY, INC.
CRD#: 10385Baton Rouge, LA 70809TRUST BUT VERIFY
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