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HM

Harper R. Marshall

PELOTON SECURITIES LLC
PORTSMOUTH, NH 03801
Some features on this profile are disabled
CRD#: 7026634
HM

Professional summary

Harper Ruggles Marshall is a registered financial professional currently at PELOTON SECURITIES LLC located in Portsmouth, New Hampshire.

Harper is registered as a RR (Registered Representative) and started their career in finance in 2020. Harper has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, Series 7TO, SIE and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Harper Ruggles Marshall'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 1, 2020 - Present

PELOTON SECURITIES LLC

Office #1: 117 Bow Street Unit #1as, Portsmouth, NH 03801Office #2: 117 Bow Street Unit #1as, Portsmouth, NH 03801
BD
CRD#: 304178
PORTSMOUTH, NH

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
New Hampshire
(4/9/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/1/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/27/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/19/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/22/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PELOTON SECURITIES LLC
PELOTON SECURITIES LLC

CRD#: 304178 / SEC#: , 8-70354

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
117 Bow Street Unit #1as, Portsmouth, NH 03801
Mailing Address
117 Bow Street Unit #1as, Portsmouth, NH 03801
Phone number
(603) 379-6066
Established
New Hampshire since 05/16/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GIRALD, JOHN MICHAELELECTED MANAGER, EXECUTIVE REP4283840
MARSHALL, HARPER RUGGLESELECTED MANAGER, CCO AND AMLCO7026634
WYAND, DANIEL JOHNELECTED MANAGER, CE SUPERVISOR
BRANT, DAVID ROBERTFINOP, POO AND PFO2718478

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.

Company Information

PELOTON SECURITIES LLC

CRD#: 304178Portsmouth, NH 03801

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