Thomas Darin Harmon
Professional Summary
Thomas Darin Harmon is a registered financial advisor currently at COMMERCE BROKERAGE SERVICES, INC. located in St Louis, Missouri and L.J. HART AND COMPANY located in St. Louis, Missouri. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2023. Thomas has worked at 2 firms and has passed the Series 63, Series 50, Series 79TO, Series 52TO, Series 82TO, Series 7TO, SIE, Series 54, Series 53 and Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
3 years in the financial services industry
Current & Past Employments
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Current Firm
L.J. HART AND COMPANY
Contact Information
Main Address
8000 Forsyth Blvd, St. Louis, MO 63105Mailing Address
8000 Forsyth Blvd Clhart, St. Louis, MO 63105Phone Number
(636) 537-9939Established
Missouri since 11/12/1991Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | — |
| HARMON, THOMAS DARIN | CHAIRMAN | 7787415 |
| PISARKIEWICZ, THOMAS JOHN | PRESIDENT/CEO/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TREASURER | 5173363 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET MCSHANE | CORPORATE SECRETARY / GENERAL COUNSEL | 7576973 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(4/5/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Jan 2025About the Series 50 examSeries 79TO — Investment Banking Registered Representative Examination
Passed Nov 2024About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Nov 2023About the Series 52TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Oct 2023About the Series 82TO examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Feb 2025About the Series 54 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Darin Harmon's CRS (Customer Relationship Summary).
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