Thomas V. Harkins
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.
Thomas Vincent Harkins, who also goes by Thomas VIncent Harkins, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1976. Thomas had worked at 7 firms and has passed the Series 63 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2003 - December 10, 2013
R.M. DUNCAN SECURITIES, INC.
May 8, 1989 - August 6, 2002
MORGAN KEEGAN & COMPANY, LLC
June 28, 1985 - June 23, 1986
CONTEMPORARY CAPITAL, INC.
August 30, 1979 - May 8, 1989
T. J. RANEY & SONS, INC.
February 16, 1978 - October 13, 1979
BEVILL, BRESLER & SCHULMAN INCORPORATED
February 8, 1977 - February 11, 1978
UMIC, INC.
March 16, 1976 - February 28, 1977
F. D. BENTON & ASSOCIATES, 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
Series 40
Date: 3/12/1976
Registered Principal ExaminationCurrent Firm
R.M. DUNCAN SECURITIES, INC.
CRD#: 14344 / SEC#: , 8-30534
Contact information
FINRA licenses (19 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
