Michael P. Harnett
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.
Michael Paul Harnett, who also goes by Michael P Harnett, Mike Harnett, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1980. Michael had worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2013 - November 29, 2021
CABOT LODGE SECURITIES LLC
October 3, 2011 - August 2, 2013
ALLIED BEACON PARTNERS, INC.
September 13, 2004 - September 30, 2011
WORKMAN SECURITIES CORPORATION
September 25, 1992 - September 13, 2004
NATIONAL PLANNING CORPORATION
January 4, 1990 - December 31, 1991
COMMONWEALTH FINANCIAL NETWORK
August 8, 1985 - January 17, 1990
AMERICAN GENERAL EQUITY SERVICES CORPORATION
July 17, 1983 - July 26, 1985
NATIONWIDE SECURITIES, LLC
April 1, 1980 - January 28, 1982
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 3/22/1980
Registered Representative ExaminationCurrent Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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