Lowell W. Hartkorn
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.
Lowell Wayne Hartkorn was a registered financial professional .
Lowell is a previously registered financial professional and started their career in finance in 1981. Lowell had worked at 14 firms and has passed the Series 63, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2014 - August 19, 2014
THE SECURITIES CENTER, INC.
June 9, 2011 - April 19, 2012
CENTURION INSTITUTIONAL SERVICES, INC.
September 30, 2008 - May 18, 2011
IMS SECURITIES, INC.
June 12, 2006 - September 18, 2008
CENTURION INSTITUTIONAL SERVICES, INC.
May 31, 2005 - January 11, 2006
EDWARD JONES
May 7, 2002 - December 3, 2004
IDS LIFE INSURANCE COMPANY
May 7, 2002 - December 3, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
June 15, 1999 - March 8, 2002
STEPHENS
July 17, 1997 - May 11, 1999
GOLDMAN SACHS & CO. LLC
May 10, 1995 - July 15, 1997
CENTURION INSTITUTIONAL SERVICES, INC.
May 14, 1991 - December 31, 1994
AMERICAN CAPITAL MARKETING, INC.
May 30, 1990 - May 31, 1991
MIDLAND SECURITIES CORPORATION
April 4, 1987 - November 18, 1988
JOHNSTOWN CAPITAL SECURITIES CORPORATION
October 7, 1986 - February 13, 1987
IDM SECURITIES CORPORATION
May 10, 1983 - February 20, 1986
MCNEIL SECURITIES CORPORATION
January 19, 1981 - May 26, 1982
OMNI-SECURITIES, INC.
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
Current Firm
THE SECURITIES CENTER, INC.
CRD#: 13971 / SEC#: , 8-30099
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BIDDLE, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 21083 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
