Lona G. Harrington
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.
Lona Gayle Harrington, who also goes by Nikki Harrington, was a registered financial professional .
Lona is a previously registered financial professional and started their career in finance in 1981. Lona had worked at 5 firms and has passed the Series 63, Series 7, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 1991 - October 23, 1991
NATIONAL SECURITIES CORPORATION
February 24, 1988 - October 10, 1990
NATIONAL SECURITIES CORPORATION
March 17, 1986 - December 18, 1986
J. ROBERT SHEEKS & CO.
March 5, 1985 - February 22, 1986
MICHAEL C. TALLEY & CO., INC.
June 14, 1984 - June 25, 1984
PAULSON INVESTMENT COMPANY LLC
June 15, 1981 - June 1, 1984
HINKLE & LAMEAR, 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
